Investment Compliance Analyst

1 day ago

Auckland City, New Zealand Tyler Wren Full time

3+ years of relevant experience
- Grow with a large financial services firm
- Flexible work arrangements

Tyler Wren is working on assisting a financial services client of ours on an exciting opportunity in their Investment Operations team. We are recruiting for an Investment Compliance Analyst to join the team and report to the Head of Investment Compliance.

As the Investment Compliance Analyst, you will work closely with the Investment Management Team and Product along with other business units to develop and implement an effective Investment Compliance framework. You will work with the team to maintain the compliance framework and processes and will continue to uplift the investment compliance framework on a regular basis.

**Other responsibilities**:

- Conduct Investment Compliance monitoring activities, including pre-trade compliance, post-trade compliance and monitoring processes
- Investigate, escalate, and resolve breaches
- Review compliance system functionality and available data elements to determine how restrictions can be captured in the compliance system
- Produce Investment Governance Committee limit and breach reporting to the Board and Committee
- Carry out checking of work produced by other members of the team such as performance calculations. Portfolio investment entity eligibility, unit pricing tolerance checks
- Maintain and update all regulatory processes and documentation such as Financial Market Authority guidance and implementation of good practice processes
- Provide analytic reports and high-level support to key operational functions as required.
- Provide assistance with developing and future-proofing the policy and reporting across all the investment portfolios
- Work with the team on the investment management and operations involved in any audit processes

**About you**:

- 3+ years of relevant industry experience; proven experience in an Investment Compliance team, or background of risk and compliance
- Knowledge of New Zealand financial regulation
- Experience with complex securities (ETFs; Stocks), derivatives, and hedge funds
- Strong attention to detail
- Excellent written and verbal communication skills

If this role sounds like it could be your next move and you’re wanting to join a growing team, please do** 'Click Apply' **or contact **Sarah Kennerley** for a confidential discussion on **09 869 7180.**
**Here at Tyler Wren, we know good people know good people, for this reason, we have increased our referral voucher to *$600 per person. *Terms and Conditions apply

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