Head of Operations & Compliance - Investment Management

The Company

Our client is a leading investment management firm with over $2 billion in assets under management.

With a highly regarded investment team and institutional-grade operating platform, the business manages a range of Australian and offshore fund structures.

Reporting directly to the CEO and Chief Compliance Officer, this is a broad and highly visible role offering exposure across fund operations, trading support, and compliance.

The Opportunity

This is a rare opportunity for an experienced operations and compliance professional to take ownership of key operational, regulatory, and fund administration activities within a sophisticated investment management setting.

Fund Operations & Trading Support Responsibilities:

- Oversee daily fund operations and trading infrastructure;
- Manage relationships with prime brokers, fund administrators, and outsourced service providers;
- Monitor trade settlements, reconciliations, corporate actions, and operational controls; AND
- Drive process improvements, automation initiatives, and operational efficiencies.

Fund Administration & Financial Management Responsibilities:

- Partner with fund administrators across multiple investment vehicles;
- Oversee NAV, cash, position, and performance reconciliation processes;
- Support liquidity management, treasury activities, and FX-related operations; AND
- Ensure accuracy and integrity of operational and financial data.

Compliance, Regulatory & Governance Responsibilities:

- Maintain and enhance the firm's global compliance and governance frameworks across Australia, the US, Cayman Islands and relevant jurisdictions;
- Coordinate regulatory obligations and reporting, including AFSL, SEC, FATCA/CRS and AML/CTF requirements;
- Act as the key liaison with regulators, external advisers, auditors and legal counsels on compliance, risk and governance matters;
- Support governance initiatives,



regulatory change projects and continuous improvement of compliance monitoring and reporting frameworks;
- Maintain enterprise and investment compliance policies and monitoring programs, including personal trading, conflicts management and trade surveillance;
- Support board and committee reporting, audits, legal documentation and governance initiatives;
- Ensure robust compliance and governance frameworks are upheld and enhanced in-line with robust AFSL and SEC compliance guidelines;
- Prepare and present regular board and committee reports and provide relevant advisory and insights where required;
- Support the CEO and ELT in managing and leading tax filings, audits and legal documentation (including IMAs, PPMs, and Information Memorandums); AND
- Liaise with external advisers, auditors, and legal counsels to ensure robust compliance and governance operations globally.

About You

- 7+ years' experience within fund operations, middle office, fund administration, compliance, or prime brokerage;
- Experience gained within a hedge fund, asset manager, investment manager, fund administrator, or similar environment;
- Strong investment governance and operational risk and compliance experience gained working within the investment management industry;
- Familiarity with investment operations platforms such as AlphaDesk, Enfusion, Bloomberg AIM, or comparable systems;
- Proven experience managing third-party external service providers, including fund administrators, prime brokers, compliance advisers, auditors, legal counsel, and outsourced operational teams;
- Strong understanding of fund structures, investment operations, compliance and regulatory obligations;
- Experience working with multi-jurisdictional fund structures and regulatory frameworks, particularly across Australia, the United States and Cayman Islands domiciled funds;
- Commercially minded, detail-oriented, and comfortable operating in a lean, high-performing environment; AND
- Confident working directly with senior leadership and external stakeholders.

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📌 Head of Operations & Compliance - Investment Management (City of Sydney)
🏢 Kaizen Recruitment
📍 City of Sydney