Senior Analyst, Investment Compliance

Location: State of New South Wales
Contract Type: Permanent
Specialisation: Banking & Financial Services
Salary: + super and bonus
REF: BBBH248088_1618905394

This global fund manager is the envy of its peers and is experiencing exponential growth. It is well known for looking after its staff and is well known as an employer of choice in most major hubs. This newly created role will act as the key Investment Compliance contact for the local Australian front office. You'll also have some ad-hoc regional responsibilities.


  • Work closely with Relationship Management, Product, Legal and Regulatory Compliance on onboarding of mandates.
  • Provide consultative support to the Equity and Fixed Income investment business and support functions in Asia Pacific region. Act as a key point of contact for investment personnel in Australia for questions related to investment compliance matters during Asia-Pac trading hours.
  • Provide advice on complex investment restrictions and regulatory requirements, particularly involving fixed income, derivatives and legal regulations.
  • Review investment restrictions in proposed new account/product documentation and guideline amendment language to ensure ability to code the compliance system
  • Report and escalate compliance breaches internally. Collaborate with investment personnel, Investment Operations, Client Account Management, Legal and Risk to resolve compliance issue where appropriate.
  • Collaborate with investment personnel to understand their perspective and the impact of investment guideline issues and interpretations on the investment process.
  • Work closely with the Investment Compliance teams based in HK/Japan/UK/US.
  • Collaborate with investment personnel to ensure rule coding achieves alignment between client/regulatory requirements and the investment strategy of each portfolio.
  • Preferably, possess technical skills to program logic-based rules in the Charles River compliance system in order to effectively monitor client and regulatory requirements

To be considered for this position, please apply through this website, or contact Charlie Fitzroy on 0405 242 474