Investment Compliance Manager - Sydney, Australia - BNP Paribas

BNP Paribas

Verified Company

Sydney, Australia

3 weeks ago

Posted by:

Olivia Brown

beBee Recruiter

Description

INVESTMENT COMPLIANCE MANAGER (

JOB NUMBER:
C D000493)

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

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 adhoc 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.
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
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

Primary Location:
AU-NSW-Sydney

Job Type:
Standard / Permanent

Job:

DATA

Education Level:
Other Degrees / Certifications / Vocational, Technical or Professional Qualifications

Experience Level:
At least 5 years