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Investment Compliance Specialist
2 weeks ago
A newly created role with a growing well know brand
- Fantastic salary, bonus and benefits on offer
- Excellent working flexibility, 1 day required in the office
The Investment Compliance Specialist is a member of the Investment Services & Compliance team and helps deliver outcomes for the broader Investment Operations.
This role is responsible for doing the day-to-day activities involving the monitoring of the Funds investment compliance function.
**Day to Day**:
- Work collaboratively with the custodian to uplift the compliance monitoring processes and oversight.
- Contribute to the development and maintenance of common compliance procedures and frameworks for the monitoring of investment managers.
- In conjunction with the team, contribute to annual financial audit, external audit and regulator requests and new manager valuation review.
- Contribute to the development and maintenance of compliance monitoring activities.
- Day to day oversight of the Funds investment compliance function and mandate monitoring.
- Participate in risk and control assessments for the team and assist in implement suitable controls and mitigators to ensure risks are managed appropriately.
- Contribute to Board and Committee paper submissions as required, particularly the quarterly compliance report.
**Requirements**:
- Between 3- 5 years of experience in a similar role within Investment Compliance, within an Asset Manager, Superannuation Fund or Custodian
- Strong knowledge of investment structures, specifically unlisted assets
and valuation methodologies
- Knowledge and understanding of risk management frameworks
- An excellent attitude to work and a the team environment
**Benefits**:
- An excellent team and working environment
- Opportunity to travel if preferred - not necessary
- WFH flexibility - only one day required in the office
- Brand new office in the heart of Sydney CBD
- A great salary, bonus and benefits structure
