Compliance Operations Analyst - Fund Management

Location: Melbourne CBD, Victoria
Contract Type: Permanent
Specialisation: Banking & Financial Services
Salary: AU$70000.00 - AU$80000.00 per annum + Super
REF: BBBH240170_1581050638

The Company

My client is a boutique investment manager with a global footprint who consistently out-perform their competitors. They have a fun, professional culture and a dynamic approach, while their flat structure means that employees have daily interaction with senior business partners. They have incredible views from their offices and offer exceptional career development and learning potential. As such, they are consistently regarded as an employer of choice.

This is a newly created role in a hugely successful organisation. Successful candidates will benefit from exposure to all areas of the business, a highly diverse role and the opportunity to learn and develop their career far more than they would be able to elsewhere.

The Role

  • Oversee and monitor investment compliance including:
    • Portfolio investment mandate guideline monitoring.
    • Review of securities positions.
    • Transaction Monitoring.
    • Surveillance analytics.
  • Data analytics, static data, ratings and pricing quality control.
  • Assist with broker requests (AML/KYC refresh, tax documentation, etc…) and broker review reporting.
  • Be a key point of contact for derivative reporting and derivative counterparty relations.
  • Provide compliance and regulatory reporting support to ensure that compliance breaches are monitored, rectified and reported.
  • Assist with managing and monitoring the Anti-Money Laundering/Counter terrorism Program.

The Candidate

Successful candidates will have:

  • Prior experience in compliance, regulatory reporting and data analytics.
  • Experience within the finance industry, preferably investment management.
  • An analytical approach to data and data interpretation.
  • The ability to work to timelines
  • A solid understanding of corporate and data governance
  • Excellent oral and written (attention to detail) skills

To be considered for this role please apply online. I will then provide you with feedback as soon as possible.

Julian Soames

Principle Consultant - Banking & Financial Services