Senior Compliance Analyst - Investment Management
This Global Fund Manager has built an outstanding reputation in the market from decades of high performance and industry leading investments.
Working directly with the Head of Compliance and Risk, you would be responsible for managing operational requirements of the compliance function for Australia.
You will work collaboratively with colleagues across all areas including Investment, Distribution, Marketing, Operations, Legal, Finance and HR on regulatory requirements, monitoring compliance and managing any regulatory and reputational risks.
Duties and Responsibilities include: - Oversight and review of compliance with substantial shareholdings monitoring and reporting
- AML client due diligence SME for Australia
- Client compliance reviews and RFP responses
- Ensure compliance framework has been adhered to as part of the compliance monitoring programme
- Prepare monthly compliance reports for clients
- Respond and investigate alerts (e.g. market abuse monitoring, personal securities dealing)
- RG 146 training and roll out compliance training and monitoring
- Participate in local and Group projects
- Assist Head of Compliance and Risk to prepare Compliance Committee Governance and Risk Committee packs
- General administrative tasks to support the team
Experience: - 2-5 years relevant work experience within funds management preferably in Compliance, Operational Risk or Audit.
- Good knowledge of financial securities, including equities, fixed interest and derivatives gained through either tertiary studies or work experience
Knowledge, skills & behaviours - Knowledge of the Australian regulatory regime and regulatory requirements
- Excellent problem solving and analytical skills
- Desire to develop compliance skills and work within the compliance industry
- Ability to communicate effectively with staff of all levels
This is a good opportunity to step into a high performing business, within a team that will give you a vast amount of exposure.
If you are interested, please send your cover letter and resume to Claire Tate via the apply link on this website, or call 9216 6733 for a confidential discussion.
