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SalaryThe Investment Compliance Specialist is a member of the Investment Services & Compliance team and helps deliver outcomes for the broader Investment Operations.
This role is responsible for doing the day-to-day activities involving the monitoring of the Funds investment compliance function.
Day to Day:
- Work collaboratively with the custodian to uplift the compliance monitoring processes and oversight.
- Contribute to the development and maintenance of common compliance procedures and frameworks for the monitoring of investment managers.
- In conjunction with the team, contribute to annual financial audit, external audit and regulator requests and new manager valuation review.
- Contribute to the development and maintenance of compliance monitoring activities.
- Day to day oversight of the Funds investment compliance function and mandate monitoring.
- Participate in risk and control assessments for the team and assist in implement suitable controls and mitigators to ensure risks are managed appropriately.
- Contribute to Board and Committee paper submissions as required, particularly the quarterly compliance report.
- Contribute to the wider team including having high standards for analysis and decision making, applying company policies and values, and encouraging success.
- Between 3- 5 years of experience in a similar role within Investment Compliance, within an Asset Manager, Superannuation Fund or Custodian
