Role: Investment Compliance Analyst
Location: Sydney CBD

About the Role

Mars Recruitment is currently working with a global financial institution who is seeking an Investment Compliance Analyst in Sydney. Part of the Client Delivery team, the role is fundamental to the investment compliance monitoring process, ensuring adherence to client IMAs and assisting in the day-to-day investment process.

The successful candidate will have industry experience in Investment Compliance and can interpret investment mandate agreements, the Analyst will play a key role liaising directly with clients and investment managers, regarding investment guideline monitoring, ensuring high quality service delivery are met.

Key Responsibilities:

• Perform daily monitoring of investment compliance rules within client IMAs.
• Engage with clients and investment managers on guideline monitoring, responding to queries and resolving issues efficiently.
• Assist in related compliance activities, including Substantial Shareholder, Exposure, and derivatives monitoring.
• Support service delivery with a focus on timeliness, and client satisfaction.
• Collaborate with internal teams to enhance service quality and address operational issues.
• Assist with implementing and optimising compliance processes and service enhancements.
• Participate in new client onboarding and activity setup.
• Contribute to business requirement documentation, user acceptance testing (UAT), and project governance.

Skills & Experience:

• Ideally 2-3 years of experience in Investment Compliance or a related field.
• Ability to interpret investment mandates and implement corresponding rules in compliance systems.
• Experience investigating and resolving breaches of mandate restrictions.
• Strong written and verbal communication skills, client-focused and great interpersonal skills.
• Proficiency in Microsoft Excel and familiarity with financial instruments, including derivatives.
• Experience with Bloomberg, Hi-Portfolio (desirable).
• Tertiary qualification in a relevant field.

Please apply via the link or reach out directly for a confidential discussion [email protected].