Investment Compliance Analyst
2 weeks 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.
-
Investment Compliance Analyst
2 days ago
Sydney, New South Wales, Australia Buscojobs Full timeInvestment Compliance AnalystThe Investment Compliance Analyst role involves daily monitoring of rules within client IMA's and assisting in the investment process. This role requires direct interaction with clients and investment managers to ensure quality service delivery by responding to queries, resolving issues, and participating in client service...
-
Investment Compliance Analyst
1 day ago
Sydney, New South Wales, Australia Ambition Full timeInvestment Compliance AnalystDirect message the job poster from AmbitionRecruitment Consultant- Banking & FinanceInvestment Compliance AnalystThe Investment Compliance Analyst role involves daily monitoring of rules within client IMA's and assisting in the investment process. This role requires direct interaction with clients and investment managers to...
-
Investment Compliance Analyst
6 days ago
Sydney, Australia BNP Paribas Full time**What is this position about?** The Investment Compliance Analyst role sits within the P&C Client Delivery team. The primary function of the role requires the performing of day to day monitoring of rules within client IMA’s, assisting in the day to day investment process. The Investment Compliance Analyst interacts directly with clients and/or...
-
Investment Compliance Manager
1 week ago
Sydney, Australia BNP Paribas Full timeINVESTMENT COMPLIANCE MANAGER (JOB NUMBER: C D000493) **Overall Job Purpose** The Investment Compliance Manager role sits within the Performance & Compliance Client Delivery team. The role performs day to day monitoring of rules within client IMA is, assisting in the day-to-day investment process. The Investment Compliance Analyst interacts directly with...
-
Investment Compliance Manager
1 week ago
Sydney, Australia BNP Paribas Full time**Overall Job Purpose** The Investment Compliance Manager role sits within the Performance & Compliance Client Delivery team. The role performs day to day monitoring of rules within client IMA is, assisting in the day-to-day investment process. The Investment Compliance Analyst interacts directly with clients and or investment managers regarding all...
-
Sydney, New South Wales, Australia UBS Full timeCompliance Control Analyst – Investment Suitability & Cross Border Join to apply for the Compliance Control Analyst – Investment Suitability & Cross Border role at UBSCompliance Control Analyst – Investment Suitability & Cross Border Join to apply for the Compliance Control Analyst – Investment Suitability & Cross Border role at UBSJob Reference...
-
Investment Operations Analyst
2 days ago
Sydney, New South Wales, Australia Buscojobs Full timeInvestment Operations Analyst | Investment ComplianceOpportunity for an experienced Investment Compliance Analyst to join a global financial institution in Sydney CBD.Role : Investment Compliance AnalystLocation : Sydney CBDAbout the RoleMars Recruitment is currently working with a global financial institution seeking an Investment Compliance Analyst in...
-
Accounting Analyst
7 days ago
Sydney, Australia Thaddeus Martin Compliance Full time**Role Overview**: The Accounting Analyst plays a vital role in supporting TMC’s financial operations, compliance efforts, and strategic objectives. This position ensures the preparation and management of financial activities, adherence to regulatory requirements, and delivery of accurate financial insights critical to TMC’s performance and...
-
Sydney, New South Wales, Australia UBS Full timeCompliance Control Analyst – Investment Suitability & Cross BorderJoin to apply for the Compliance Control Analyst – Investment Suitability & Cross Border role at UBSCompliance Control Analyst – Investment Suitability & Cross BorderJoin to apply for the Compliance Control Analyst – Investment Suitability & Cross Border role at UBSJob Reference...
-
Sydney, New South Wales, Australia UBS Full timeCompliance Control Analyst – Investment Suitability & Cross BorderJoin to apply for the Compliance Control Analyst – Investment Suitability & Cross Border role at UBSCompliance Control Analyst – Investment Suitability & Cross BorderJoin to apply for the Compliance Control Analyst – Investment Suitability & Cross Border role at UBSJob Reference...
