Operations and Compliance Analyst

3 days ago

Sydney, Australia B & K Consulting Full time

Our client is a growing fund manager in the alternative investments space. This newly created operations & compliance analyst role will report into the COO. It is not a traditional role and you will get the chance to work on a diverse list of responsibilities (outlined below) and be given the freedom to hone and create processes. It’s a 4 person team and there will be a lot of support for anyone coming into the team.

**Responsibilities**:

- Review of Product Disclosure Statements, Investment Memoranda, Fund factsheets, Fund Updates and related marketing materials to ensure compliance with regulatory requirements and internal guidelines
- Pre-trade and post-trade compliance checks and ensuring that execution aligns with each portfolio manager's instructions and investment mandate
- Approval of daily trade files
- Implementation and maintenance of investment compliance rules in the compliance system in accordance with Investment Management Agreements and investment strategies
- Review and maintenance of policies and procedures, ensuring the compliance manual remains current and comprehensive
- Maintenance of incident/breach registers and implementation of preventative actions to mitigate compliance risks
- Participation in the quarterly compliance committee meetings
- Writing and maintenance of procedures for all compliance tasks
- Completion of all monthly, quarterly, semi-annual and annual compliance questionnaires
- Conduct monthly compliance training for the business
- Assistance in regulatory and audit reporting such as GS007, AIST ODD and Fund audits
- Assistance to the COO in strengthening control measures
- Backup support for cash and stock reconciliations and investment data maintenance in the Order Management System and Portfolio Management System
- Backup support for cash management processing and maintenance of Operations & Compliance Procedures Manual
- Collaboration with administrator/custodian and Responsible Entity as needed
- Liaison with Legal service provider on the Compliance Framework & Plan
- Assistance in facilitating new business onboarding
- Liaison with all internal colleagues - sales & marketing, investments and senior management on operational and compliance matters

As a fund, this business is unique in their fast-moving and entrepreneurial spirit in which they work and you need to be someone who can thrive in that environment. You will need to be a confident communicator and real team player and someone who enjoys and wants to be in the office with your colleagues.

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