Senior Investment Compliance Specialist
3 days ago
This is a unique chance for a talented professional to excel in investment compliance. The role requires working at least three days a week in the office, based in Melbourne or Sydney.
Main Responsibilities:- Regularly provide production-level compliance monitoring for Mercer Investments (Australia) Limited.
- Proactively monitor adherence to procedures and control checks on a daily / monthly / quarterly basis.
- Take ownership of the quarterly third-party fund manager Due diligence questionnaire process.
- Assist with the investigation of breaches and incidents, ensuring timely resolution and improvement to the control environment.
- Assist with regulatory filings and review OTC derivatives reporting.
- Monitor shareholder reporting requirements, including any FIRB exclusions and investment mandate exclusion monitoring.
- Suggest improvements to manual processes and streamline processes for efficiency.
- Escalate any exceptions to senior stakeholders.
- A minimum of 3 years' experience in investment compliance from a fund or investment management background.
- A strong understanding of fund or investment management processes, including market drivers and asset manager processes.
- Strong Excel skills are essential.
- Tertiary qualification and/or industry-specific qualification are required.
- Experience with a Big 4 or mid-tier professional services firm is preferred but not necessary.
- Good organisational, research and administrative skills are mandatory.
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