Our client is a growing fund manager in the alternative investments space. This newly created operations & compliance analyst role will report into the COO. It is not a traditional role and you will get the chance to work on a diverse list of responsibilities (outlined below) and be given the freedom to hone and create processes. It's a 4 person team and there will be a lot of support for anyone coming into the team.
Responsibilities: Review of Product Disclosure Statements, Investment Memoranda, Fund factsheets, Fund Updates and related marketing materials to ensure compliance with regulatory requirements and internal guidelines. Pre-trade and post-trade compliance checks and ensuring that execution aligns with each portfolio manager's instructions and investment mandate. Approval of daily trade files. Implementation and maintenance of investment compliance rules in the compliance system in accordance with Investment Management Agreements and investment strategies. Review and maintenance of policies and procedures, ensuring the compliance manual remains current and comprehensive. Maintenance of incident/breach registers and implementation of preventative actions to mitigate compliance risks. Participation in the quarterly compliance committee meetings. Writing and maintenance of procedures for all compliance tasks. Completion of all monthly, quarterly, semi-annual and annual compliance questionnaires. Conduct monthly compliance training for the business. Assistance in regulatory and audit reporting such as GS007, AIST ODD and Fund audits. Assistance to the COO in strengthening control measures. Backup support for cash and stock reconciliations and investment data maintenance in the Order Management System and Portfolio Management System. Backup support for cash management processing and maintenance of Operations & Compliance Procedures Manual. Collaboration with administrator/custodian and Responsible Entity as needed. Liaison with Legal service provider on the Compliance Framework & Plan. Assistance in facilitating new business onboarding. Liaison with all internal colleagues – sales & marketing, investments and senior management on operational and compliance matters. As a fund, this business is unique in their fast-moving and entrepreneurial spirit in which they work and you need to be someone who can thrive in that environment. You will need to be a confident communicator and real team player and someone who enjoys and wants to be in the office with your colleagues.
If this sounds like a role of interest, please apply or email John Molony ( ) if you have any questions.
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