Job Description
The team forms part of the Investment Operations team, which is responsible for the administration and servicing of the funds and portfolios of assets.
Responsibilities:
- 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
- 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)