Senior Analyst, Portfolio Compliance

AustralianSuper•New York, NY

2d•Hybrid

About The Position

AustralianSuper is the largest superannuation fund in Australia--in the top 20 largest funds globally and top 50 asset owners globally. With more than US $230 billion in current assets under management, and a world-class investment team, AustralianSuper has the appetite and capability to directly invest in large-scale opportunities. Our New York office is made up of more than 75 colleagues and is expected to grow significantly over the next few years, so when you join, you become a key part of building our culture. Reporting to the Manager, Portfolio Compliance, this role will undertake daily portfolio compliance activities across the Investments department covering pre & post trade monitoring, wall crossings, and substantial shareholding reporting. This role will have the additional responsibility of AML/KYC activities and broader compliance reporting, assessments, and advice to support the Fund in meeting its regulatory requirements. This is a newly created position, that is based on-site at 1251 Avenues of the Americas, with a hybrid work schedule.

Requirements

Culture is key at AustralianSuper and we are looking for someone who is a team player that enjoys working in a high performing collaborative team.
We are dedicated to building a high-performance environment underpinned by a strong risk culture, ensuring we deliver the best outcomes for our members.
A strong understanding of and experience in applying an KYC, AML frameworks.
Well-developed analytical skills and a high attention to detail.
Confident and capability verbal communication/ interpersonal skills.
Self-starter and comfortable working in a small team, able to self-direct work and comfortable with a lot of change.
Demonstrated ability to understand and translate external regulatory requirements to shape business outcomes .

Nice To Haves

Experience in a risk and/or compliance function within a major financial institution, custodian, pension fund or insurance office, ideally with exposure to or knowledge of funds management and private equity.
Experience with Aladdin or other similar portfolio compliance tools.
An understanding of prudential or markets regulations with respect to risk management and investment governance in US/ Australia would be ideal.
Hold an accreditation in Risk Management from a recognised body or be willing to obtain one after joining AustralianSuper.

Responsibilities

Conduct mandate compliance and reporting activities: Utilise Aladdin and other compliance tools to assist with the monitoring, review and escalation of pre and post-trade compliance issues across internal management.
Effective execution of Wall Crossings process across public and private markets.
Identify, investigate, and escalate potential mandate breaches and incidents.
Work with key internal and external portfolio managers and other stakeholders to ensure efficient and comprehensive remediation of incidents, including appropriate internal reporting.
Review and prepare disclosure reporting for SEC and other jurisdictions.
Assist the Fund to monitor and report on regulatory and exchange mandated limits.
Broader compliance related activities: Facilitate and support in the delivery of the Fund’s KYC program for Investments, working closely with AU Line 1 compliance stakeholders and US investment teams.
Assist in the review of incidents across the Investments and Fund Services departments to identify and respond on potential regulatory impact as they relate to US regulation/ obligations.
Produce compliance and regulatory reporting as required to the Fund’s committees and Senior Management.
Support in the oversight of the Conflicts Management Framework.
Contributing to development of best practice processes and systems that will enable the Fund to better manage risk in an environment of rapid growth and increased direct investment and third-party engagements.