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Investment Compliance Analyst

Job Title: Investment Compliance Analyst
Contract Type: Permanent
Location: Sydney
Reference: Investcomp
Contact Name: Roisin McGuirk
Contact Email:
Job Published: February 09, 2021 17:46

Job Description

Our client is an Investment Management firm and this role sits within the Investment Compliance team. The team provides pre & post trade investment compliance functionalities to all investment partner clients.

The team forms part of the Investment Operations team, which is responsible for the administration and servicing of the funds and portfolios of assets.


  • 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
  • Producing the monthly presentation pack for reported non-compliance events
  • Performing daily, monthly and quarterly scheduled tasks
  • Analysing any compliance issues and escalating to management when required
  • Improving processes, controls and documentation
Skills and experience:
  • 3+ years’ experience with Investment Compliance (essential)
  • 5+ years’ experience in Financial Services (preferred)
  • Knowledge of financial markets, investment restrictions and funds management (essential)
  • Relevant tertiary education plus relevant industry accreditation (preferred)
  • Intermediate/Advanced Excel Skills (preferred)

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