Senior Investment Compliance Professional

2 weeks ago

Sydney, New South Wales, Australia beBeeInvestment Full time
Compliance Monitoring Specialist

A Compliance Monitoring Specialist plays a vital role in the investment process by daily monitoring rules within client Investment Management Agreements and assisting in various aspects of investment management. This position involves direct interaction with clients and investment managers to ensure quality service delivery, including responding to queries, resolving issues, and participating in client service meetings and reviews.

The specialist will also assist clients with related monitoring activities such as Substantial Shareholder, Exposure, and derivatives monitoring. Key responsibilities include delivering investment compliance monitoring services, acting as a primary contact point for client and investment manager inquiries, ensuring prompt action on requests and issues, meeting with clients to maintain high service standards, and supporting new activity setup and onboarding processes.

  • Deliver comprehensive investment compliance monitoring services.
  • Act as a primary contact point for client and investment manager inquiries.
  • Ensure timely resolution of requests and issues.
  • Meet with clients to uphold exceptional service standards.
  • Support the onboarding of new activities and initiatives.

To excel in this role, candidates should possess 2-3 years of experience in investment compliance or a related field, demonstrate strong written and verbal communication skills, and exhibit sound judgment in client commitments. Additionally, they should be able to interpret investment mandate agreements, set up rules, investigate breaches, communicate effectively with investment managers and clients, resolve production issues and client queries, perform data maintenance and reporting tasks, build technical expertise through training and research, maintain procedures, risk, and control guidelines, and implement service and process improvements.

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