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Investment Compliance Analyst

HAYS - Sydney, NSW

Any Industry
Source: uWorkin

Source: uWorkin


Investment Compliance Analyst job at a global bank in Sydney CBD

Your new company
This company are a very well respected, foreign bank based in Sydney. They offer a dynamic, thriving and flexible working culture.

Your new role
The Investment Compliance Analyst role sits within the Performance & Compliance Client Delivery team. The role performs day to day monitoring of rules within client IMA, assisting in the day-to-day investment process.

  • Investment compliance monitoring services
  • Act as a contact point in the event of client and/or investment manager queries and requests
  • Assist clients with related monitoring activities such as Substantial Shareholder, Exposure and derivatives monitoring
  • Involved in all aspects of IMA monitoring to ensure a quality-service delivery experience by responding to client queries, resolving issues and participating in client service meetings and reviews.
  • Interpret investment mandate agreements into investment rules and set up these corresponding rules
  • Investigate breaches of mandate restrictions, identify critical factors and communicate this with both investment manager and client
  • Ensure appropriate procedures, risk and control guidelines are maintained and adhered to, and identify, update and maintain gaps in controls and procedures.
  • Maintenance and requests to ensure complete reporting, such as adding rules, portfolios, benchmarks, and custom reporting as needed.

What you'll need to succeed

  • Tertiary qualifications in a relevant discipline e.g. Commerce, law, accounting or similar
  • 2 years + experience in experience in Investment Compliance
  • Understanding of financial markets, including all instrument types and derivatives
  • Desirable but not essential: VBA, SQL, Datastream, Bloomberg
  • Client focus - delivers consistently a high standard of client service

What you'll get in return
Global bank offering a permanent role in Investment Compliance based in Sydney CBD

What you need to do now
Please apply now online or email your CV directly to philip.lewis@hays.com.au to be considered.

SA Licence number : LHS 297508