An established and growing funds management business is looking for an experienced Investment Compliance Manager to join its team in Sydney. This is a hands-on role reporting directly to the COO with responsibility for overseeing investment compliance across portfolios, monitoring investment activity and ensuring the business operates within regulatory, mandate and internal requirements.

Key responsibilities include:
Oversee investment compliance monitoring across portfolios
Monitor portfolios against regulatory requirements, investment mandates and internal restrictions
Conduct and review pre- and post-trade compliance monitoring
Investigate, assess and manage investment compliance breaches and exceptions
Provide advice to investment teams on compliance requirements and investment restrictions
Maintain and review investment guidelines and compliance parameters
Prepare investment compliance reporting for senior stakeholders
Work closely with Investment, Operations, Product and other internal teams
Support regulatory reviews, audits and compliance projects
Identify opportunities to improve compliance processes, controls and reporting




Contribute to the ongoing development of the investment compliance framework

You will ideally have:
Minimum 4 years relevant experience across risk and compliance, investment compliance, funds management, financial services
Solid experience in investment or portfolio compliance
Positive understanding of investment products, portfolios and asset management
Experience interpreting investment mandates, restrictions and regulatory requirements
Experience managing compliance breaches, exceptions and remediation
Robust analytical and problem-solving skills
Excellent attention to detail and a proactive approach
Confidence working directly with investment and senior stakeholders
Strong communication skills, both written and verbal
Relevant tertiary qualifications in Finance, Commerce, Economics or a related discipline

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📌 Investment Compliance Manager Sydney (Australia)
🏢 GOW Recruitment
📍 Australia