Investment Compliance Manager

Overall Job Purpose

The Investment Compliance Manager role sits within the Performance & Compliance Client Delivery team. The role performs day to day monitoring of rules within client IMA is, assisting in the day-to-day investment process.

The Investment Compliance Analyst interacts directly with clients and or investment managers regarding all aspects of IMA monitoring to ensure a quality-service delivery experience by responding to client queries, resolving issues and participating in client service meetings and reviews.

In addition to IMA monitoring, the Investment Compliance Analyst will assist clients with related monitoring activities such as Substantial Shareholder, Exposure and derivatives monitoring.

Areas of responsibilities

Service Delivery

• Participate in and support the delivery of investment compliance monitoring services to BNP Paribas Australian clients.
• Act as a contact point in the event of client and/or investment manager queries and requests.
• Ensure prompt action taken to address requests and or issues.
• Meet with clients as required to ensure the service delivery is of a high standard, maintaining a strong focus on timeliness and accuracy as measured by service KPIs and MI

Projects & Change

• Assist with client change control aimed at developing, extending, or improving the existing service received by the client
• Assist with new activity set up and onboarding activities
• Assist with business requirements documents, UAT & implementation plans, support and maintain project governance documents
• Assist in the optimisation of end production under your oversight, working transversally across the business as required.

Contributive responsibilities (how the role contributes to the success of business line / function)

• Working to deliver service to our clients accurately and on time, thus reinforcing and building client relationship, leading to new business opportunities
• Working to ensure operational risk is captured and addressed, securing our functional capabilities

Qualifications

Technical skills and experience

Required:

• Investment Compliance or Fund Accounting experience
• Be able to interpret investment mandate agreements into investment rules and set up these corresponding rules within the BNP Paribas compliance system
• Investigate breaches of mandate restrictions, identify critical factors and communicate this with both investment manager and client.
• Address clients queries and ad-hoc reporting requests
• Communicate externally with Clients and/or Investment Managers and internally with BP2S teams
• Be able to identify and escalate the more complex queries and issues to senior team members in a timely manner as needed. Recommend and implement corrective action where appropriate.
• Maintenance and requests to ensure complete reporting, such as adding rules, portfolios, benchmarks, and custom reporting as needed.
• Build and apply technical capability through on-the-job training and independent research, staying up to date with industry best practice and regulation.
• Adhere to appropriate procedures, risk and control guidelines, and identify
• Identify and work with senior team members to implement improvements to services and processes
• Understanding of financial markets, instrument types and derivatives

System / application skills

• Essential: MS Office (eg. Excel, Word, Powerpoint, etc.)
• Preferred : Fund Accounting platforms (eg Hi-Portfolio)
• Desirable but not essential: VBA, Bloomberg,

Business Analyst skills

• Strong deadline orientated approach
• Sound written and verbal communication skills