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Investment Compliance – 12 month contract

Written by Anton Murray Consulting on .

Location: Sydney

Salary description: $80k-$95k + super

  • $50-100k AUD Equivalent
  • Contract or Temporary
  • 1 to 3 years of experience

This is a position working as part of the Analytics function in an Investment Compliance capacity. The ideal profile for this role is a candidate who has an analytical mind, with some prior exposure to investment mandate compliance monitoring. Prior experience to Bloomberg, Reuters and other mandate monitoring applications would be ideal. Typically everyone within the Analytics team is well-educated so tertiary education is often preferred, and any post-graduate education such as CFA Levels 1 or 2 complete is also useful.

The progression within this function is to progress within the Investment Compliance team, although cross-over between Investment Compliance and Performance & Attribution Analytics is relatively common.

The salary range on offer for this position will vary depending on prior experience that can translate directly to the role, although we would expect circa $90k base

Responsibilities:

  • Conduct trade compliance monitoring and provide in-depth analysis to clients and technical support
  • 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.
  • Be able to interpret investment mandate agreements into investment restrictions and set up corresponding rules within the compliance system to monitor these
  • Investigate breaches of mandate restrictions, and then identify and communicate the cause to investment manager and client.
  • Support client transitions and sales
  • Input into our regional product roadmap, strategy and local market requirements
  • Market, competitor and industry research for investment compliance

Experience Required:

  • Our preferred candidate will have more than 2 years’ experience in investment compliance
  • University degree qualification (post graduate degree and/or a CFA® designation an advantage)
  • Excellent stakeholder management skills as this role will require various communication, presentations etc.
  • Client service and problem solving
  • Understanding of data requirements to produce accurate results
  • Proven knowledge of market leading compliance platforms
  • Understanding of investment compliance product and regulatory trends
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