Job Description

Investment Compliance Analyst

  • 11 Sep 2020
  • Sydney
  • FullTime

Reporting to the Senior Manager, Investment Compliance, the role is based in Sydney and is responsible for the monitoring of investment restrictions and limitations across all entities.

Key responsibilities include, however not limited to:

Daily investment compliance monitoring of limits, restrictions & investment guidelines sourced from individually managed accounts (IMA’s), Derivative risk statement and developed internal investment related policies
Monitoring covers all asset classes and markets across the globe
Breach reporting, rectification and resolution.
Real time engagement with front office to resolve Pre-Trade compliance issues
Change management responsibilities including new setups and changes to existing involving interpretation, quantifying, coding and testing across Charles River and BRS Aladdin systems
Working closely with IT to leverage resources and tools available to tailor solutions for compliance monitoring requirements
Enterprise and client-specific reporting
Participation in ad-hoc projects
Key requirements:

Tertiary qualification in Finance or Commerce
Over 5 years of solid experience in the funds management industry with a strong focus on investment compliance
Advance level experience in Excel is a must, intermediate experience in coding/VBA skills
A solid understanding of both Charles River and BRS Aladdin’s compliance monitoring functionality along with direct experience in using the systems in an investment management / funds administration environment
Excellent analytical, problem-solving and incident management skills
Ability to clearly communicate complex matters to various levels of management
Good knowledge domestic as well as international markets across all asset classes
Ability to work and perform independently as part of a global team, including occasional coverage for Australian and Asian markets/time zones as required by the wider team


If you are interested, click on the link to apply or send your updated CV to