AML & Investment Compliance Analyst

1 week ago

Sydney, New South Wales, Australia Mane Consulting Full time $90,000 - $120,000 per year

ABOUT THE ORGANISATION

A High Profile Investment Group requires an Investment Compliance/AML Analyst due to an exciting phase of growth in New Business.

ABOUT THE ROLE

  • Daily monitoring of investment guideline and rules within Client Portfolio
  • Collaborate with Clients and Front Office regarding all aspects of investment guideline reviews to ensure adherence to Mandate and Risk Profile
  • Oversee AML/CTF compliance requirements and client onboarding
  • Maintain compliance and operations documentation (KYC, AML, trade support).
  • Assisting clients with related surveillance activities such as Substantial Shareholder, Ethical Issues and Exposure Ratios
  • Key point of contact for Fund Manager queries and report requests.
  • Regular Client Meetings maintaining a strong focus on efficiency and accuracy as measured by SLA's, KPIs and client feedback.
  • Assist with new rules set-up and onboarding activities
  • Assist with business requirements documents, UAT & implementation plans, supporting and maintaining project governance documentation.
  • Ability to interpret Investment Mandate objectives into investment rules and implement the corresponding rules within the Compliance Platform .
  • Investigate breaches of mandate restrictions, identify critical factors and communicate this with both Front Office and Clients.
  • Perform data maintenance and submit requests to enhance rules and mandate compliance

ABOUT YOU

  • Experience in a Compliance/Risk/AML/Mandate Monitoring environment such as Stockbroking, Wealth Management, Funds Management, Custody or Superannuation ideal
  • Understanding of Investment Markets, Funds and Superannuation Sector with knowledge of Investment Compliance, Mandate Monitoring or AML/KYC processes welcome
  • Strong interpersonal and verbal and written communication skills
  • Client Management skills with the ability to build long term professional relationships
  • The ability to collaborate and work effectively in a team with high attention to detail

Mane Consulting specialises in Fund Accounting & Investment Sector opportunities. For more information on this role or others in the market, contact joe.mcginty

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