Investment Compliance Specialist

2 weeks ago

Sydney, New South Wales, Australia beBeeCompliance Full time $90,000 - $120,000
Compliance Investment Professional

We are seeking a highly skilled Compliance Investment Professional to join our team. As a key member of our investment information services group, you will play a critical role in ensuring the accuracy and integrity of our compliance monitoring processes.

Key Responsibilities:

  • Develop logic-based rules for effective compliance monitoring by interpreting guidelines and investment mandates.
  • Implement client requirements for prospectus and rule changes on the compliance platform, ensuring accuracy and timeliness.
  • Conduct meticulous root-cause analysis of investment exceptions, including portfolio holdings, composition, historical transactions, and data verification for compliance.
  • Resolve compliance exceptions by communicating with clients, fund managers for true exceptions, and upstream teams for data or coding gaps.
  • Prepare and deliver comprehensive manual regulatory and client reports, ensuring accuracy and compliance with standards.
  • Stay informed on regulatory developments and industry trends in post-trade compliance, providing insights and strategic recommendations to management.
  • Collaborate with clients to review and implement changes in global post-trade monitoring regulations, establishing a standard set of regulatory rules.
  • Monitor client mailbox, ensuring all queries are resolved urgently and rule coding requests are routed and addressed within set timelines.
  • Interface with Controls, Audit, and Risk teams to review, analyse, and enhance all process-related controls for compliance assurance.
  • Participate in client calls to review services and discuss ongoing projects, ensuring alignment with client expectations and requirements.
  • Support new client onboarding by providing functional expertise and developing customised compliance solutions tailored to client needs.

Required Skills and Qualifications:

  • 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.
  • 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, building trusted relationships.

About Us:

As a global leader in financial services, we provide strategic advice and products to the world's most prominent corporations, governments, wealthy individuals and institutional investors. We strive to build trusted, long-term partnerships to help our clients achieve their business objectives.

We value diversity and inclusion at our company and do not discriminate on the basis of any protected attribute.

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