Investment Governance and Risk Analyst
We are seeking a highly skilled investment compliance professional to join our team.
* To provide regular production and accurate monitoring of investment compliance for a leading investment management firm.
* To proactively monitor adherence to procedures and control checks on a daily, monthly and quarterly basis.
* To take ownership of the quarterly due diligence questionnaire process for third-party fund managers.
* To assist with the investigation of breaches and incidents and ensure timely resolution and improvement to the control environment.
* To assist with regulatory filings and review over-the-counter derivatives reporting.
* To monitor shareholder reporting requirements including any FIRB exclusions and investment mandate exclusion monitoring.
* To suggest improvements to manual processes and streamline processes for efficiency.
* To escalate any exceptions to senior stakeholders.
Key responsibilities include:
* Compliance monitoring and risk assessment.
* Due diligence and research.
* Regulatory compliance and reporting.
* Operational risk management.
The successful candidate will have:
* 3+ years of experience in investment compliance from a fund or investment management background.
* A strong understanding of fund or investment management processes.
* Strong Excel skills.
* Tertiary qualification and/or industry-specific qualification.
* Experience with a Big 4 or mid-tier professional services firm preferred but not essential.
* Good organisational, research and administrative skills.