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 Chance
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 environment.
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 (New South Wales)
🏢 Kaizen Recruitment
📍 New South Wales