Investment Compliance Associate

Sydney

Asset Management

Permanent

We are seeking an experienced Investment Compliance candidate for a leading global funds services provider in their Sydney office.

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 and Risk 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 in the range of $70- 75k AUD + super.

Responsibilities

• Conduct trade compliance monitoring and provide in-depth analysis to clients and technical support.
• Monitor, analyse, resolve and escalate any investment breaches.
• Provide advice and educate clients on compliance matters when necessary and represent the company as a thought leader at industry events.
• Support client transitions and sales.
• Input into our regional product roadmap, strategy and local market requirements.
• Market, competitor and industry research for investment compliance.

Requirements

• Our preferred candidate will have more than 3 years’ experience in investment compliance including:
• University degree qualification (post graduate degree and/or a CFA® designation an advantage).
• Interpreting and articulating investment guidelines for a diverse range of portfolios to clients.
• 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.