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Compliance Analyst | Investment Role
3 weeks ago
This key role supports the investment compliance monitoring process ensuring adherence to client mandates.
- Daily monitor investment compliance rules within client agreements.
- Engage with clients and managers on guideline monitoring, respond to queries and resolve issues efficiently.
- Assist in related activities including Substantial Shareholder, Exposure and derivatives monitoring.
The successful candidate will have experience in Compliance and interpret investment mandate agreements, playing a key role liaising directly with clients and managers, ensuring high quality service delivery.
Responsibilities:- Support timely service delivery and client satisfaction.
- Collaborate with internal teams to enhance service quality and address operational issues.
- Implement and optimise compliance processes and service enhancements.
- Participate in new client onboarding and activity setup.
- Contribute to business requirement documentation, user acceptance testing and project governance.
Skills & Qualifications:
- Ideal 2-3 years of experience in Compliance or a related field.
- Ability to interpret investment mandates and implement corresponding rules in systems.
- Experience investigating and resolving breaches of mandate restrictions.
- Strong written and verbal communication skills, client-focused and great interpersonal skills.
- Proficiency in Microsoft Excel and familiarity with financial instruments including derivatives.
- Familiarity with Bloomberg, Hi-Portfolio desirable.
- Tertiary qualification in a relevant field.
