Investment Compliance Analyst

A global Financial Services firm are seeking two Investment Compliance Analysts to join their growing team.

The successful candidate will be working with the organisations monitoring system and to help clients monitor their investment manager’s investment guidelines. Day-to-day responsibilities include reviewing client investment guidelines, setting up the guidelines on the monitoring system, testing to ensure desired output, ongoing client servicing and attend meetings as required by clients or internal partners.

In addition to this, you will be expected to have a sufficient knowledge base to act as Subject Matter Expert and be comfortable at engaging in conversations with clients, investment managers and the product team to articulate requirements pertinent to the organisation’s ability to provide compliance services.

Requirements:

• Familiarity with investment manager guidelines and language used in investment manager agreements
• Knowledge of financial markets
• Knowledge of fixed income and equity asset classes would be advantageous
• Interest in researching topics, such as substantial shareholder limits and other topics related to our clients’ investment requirements for their global investments
• Experience with industry vended compliance monitoring systems such as Charles River, Bloomberg POMS, RCB Dexia, etc. and/or Mutual Fund Compliance and Risk Monitoring experience is a plus