Senior Post-Trade Compliance Specialist

5 days ago

Sydney, New South Wales, Australia beBeeCompliance Full time $120,000 - $150,000
Compliance Expert

A highly skilled Compliance Expert is required to join our team in a senior role. The ideal candidate will have extensive experience in post-trade compliance roles within investment banks, asset management, or brokerage firms.

The successful candidate will possess a graduate or postgraduate degree with at least 8 years of experience in financial services, mutual funds, or stock broking.

They will demonstrate proficiency in software applications and systems for post-trade compliance monitoring and reporting.

Furthermore, the candidate will have working knowledge in guideline coding on compliance systems like Charles River, Sentinel, and Aladdin.

Strong analytical skills for creating logic-based investment rules are essential for this role.

The ideal candidate will also maintain a high standard of accuracy and attention to detail.

Excellent organisational skills to prioritise workloads and meet stringent timelines are necessary.

Effective communication with internal and external stakeholders is also vital.

The Compliance Expert will be responsible for interpreting guidelines and mandates to develop logic-based rules for effective compliance monitoring.

They will implement client requirements on the compliance platform, ensuring accuracy and timeliness.

Additionally, the candidate will conduct root-cause analysis of investment exceptions, including portfolio holdings, composition, historical transactions, and data verification.

They will resolve exceptions by communicating with clients and upstream teams.

Preparing comprehensive manual regulatory and client reports is another key responsibility.

  • Hold a graduate or postgraduate degree with at least 8 years of experience in financial services, mutual funds, or stock broking.
  • Possess extensive experience in post-trade compliance roles within investment banks, asset management, or brokerage firms.
  • Demonstrate proficiency in software applications and systems for post-trade compliance monitoring and reporting.
  • Have working knowledge in guideline coding on compliance systems like Charles River, Sentinel, and Aladdin.
  • Exhibit strong knowledge of global regulatory requirements affecting post-trade activities.
  • Understand complex instruments, fixed income, and equity products in depth.
  • Exhibit knowledge of the asset management industry, including mutual, pension, insurance, and hedge funds operations.
  • Demonstrate outstanding analytical skills for creating logic-based investment rules.
  • Maintain a high standard of accuracy and attention to detail.
  • Exhibit excellent organisational skills to prioritise workloads and meet stringent timelines.
  • Communicate effectively with internal and external stakeholders.

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