Investment Compliance Analyst
5 days ago
Sydney- Asset Management- Contract or TemporaryThis is an exceptional new **6-month contract **as an **Investment Compliance Analyst** that has just become available with **a prominent global custody services client** in their **Sydney** office.
Our client is a prominent global financial services firm, with a thriving Australian custody services business. As part of their small Investment Compliance team, they are seeking an Analyst for an initial 6 month contract duration.
The role sits within the Investment Analytics division and provides compliance monitoring, Substantial Shareholder monitoring, plus investment analytics services.
The key **responsibilities** of the Investment Compliance Analyst are as follows:
- Work with clients to ensure an ongoing high level of service
- Regular production, auditing and delivery of timely and accurate compliance monitoring for clients, ensuring adherence to procedures and control checks, on a daily / monthly / quarterly basis
- Investigate breaches of mandate restrictions, and then identify and communicate the cause to investment manager and clients
- Maintenance and requests to ensure complete reporting, such as adding rules, portfolios, benchmarks, and custom reporting as needed
- Ensure appropriate procedures, risk and control guidelines are maintained and adhered to, and identify, update and maintain gaps in controls and procedures.
- Ensure Compliance of all processes with internal policies and procedures.
- Strong understanding of financial markets and investment management processes, including the drivers behind market movements.
- Investment Compliance or mandate monitoring experience (2+ years) from either a custody or funds management background
- Tertiary qualification and/or industry specific qualification such as CIPM, CFA or FRM
The pay on offer is** variable based on prior experience**. And likely paid initially on a daily rate, with the opportunity to extend to a permanent position.
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