Investment Compliance Professional

11 hours ago

Sydney, New South Wales, Australia beBeeCompliance Full time $100,000 - $130,000
Investment Compliance Specialist

This role involves daily monitoring of investment rules and regulations, ensuring quality service delivery by responding to queries, resolving issues, and participating in client meetings and reviews.

The successful candidate will have the opportunity to assist clients with related monitoring activities such as Substantial Shareholder, Exposure, and derivatives monitoring.

  • Main Responsibilities:
  • Deliver investment compliance services to clients.
  • Act as a point of contact for client queries.
  • Ensure prompt action on requests and issues.
  • Meet with clients to maintain high service standards.
  • Assist with changes to improve client services.
  • Support new activity setup and onboarding.
  • Help with business requirements, implementation plans, and project governance.

Requirements:

  • A minimum of 2-3 years of experience in Investment Compliance or a related field.
  • Tertiary qualifications are preferred but strong industry experience is also considered.
  • The ability to interpret investment mandate agreements and set up rules.
  • Investigate breaches and communicate with investment managers and clients.
  • Resolve production issues and client queries.
  • Perform data maintenance and reporting.
  • Build technical capability through training and research.
  • Maintain procedures, risk, and control guidelines.
  • Implement service and process improvements.
  • Ensure compliance with internal policies.
  • Understand financial markets and instruments.

Key Skills:

  • Intermediate MS Excel, PowerPoint, Word skills.
  • Project/Business Analyst skills.
  • Strong written and verbal communication skills.
  • Good judgment in client commitments.

About the Role:

This is an exciting opportunity to join our team as an Investment Compliance Specialist. The successful candidate will be responsible for delivering investment compliance services to clients, ensuring quality service delivery, and assisting with related monitoring activities.

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