Investment Compliance Analyst
All vacancies of Australia • Banking & Financial Services • Investment Compliance Analyst
This role sits within the Investment Compliance team. The team provides pre & post trade investment compliance functionalities
Summary about this job
Funds Management
Company: Fitzgerald Jenkins Recruitment
Location: Sydney
Work type: Full Time
Salary: n\a
Phone: +61-7-7831-1891
Fax: +61-8-5902-1873
E-mail: n\a
Site: n\a
Detail information about job Investment Compliance Analyst. Terms and conditions vacancy
This role sits within the Investment Compliance team. The team provides pre & post trade investment compliance functionalities.The team forms part of the Investment Operations team, which is responsible for the administration and servicing of the funds and portfolios of assets for the Life and Funds Management businesses.
Responsibilities:
Pre-Trade & Post-Trade Investment Compliance Monitoring:
- Providing accurate, concise and timely analysis of non-compliance events
- Providing reporting analysis to Front Office, Risk & Compliance and Product/Institutional Client Services Teams.
- Liaising with Investment Operations teams to address issues with static data/trade bookings.
- Analysing new or amended Investment Guidelines to identify any monitoring gaps and provide feedback where necessary.
- Drafting, testing and reviewing compliance rules
- Providing accurate and timely Substantial Shareholder reporting.
- 2-6 years' experience with Investment Compliance
- Prior rule coding experience
- Knowledge of financial markets, investment restrictions and funds management
- Intermediate/Advanced Excel Skills
- Previous experience of using SimCorp Dimension (preferred)
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