Job Description
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.
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Key responsibilities include:
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Oversee investment compliance monitoring across portfolios
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Monitor portfolios against regulatory requirements, investment mandates and internal restrictions
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Conduct and review pre- and post-trade compliance monitoring
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Investigate, assess and manage investment compliance breaches and exceptions
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Provide advice to investment teams on compliance requirements and investment restrictions
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Maintain and review investment guidelines and compliance parameters
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Prepare investment compliance reporting for senior stakeholders
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Work closely with Investment, Operations, Product and other internal teams
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Support regulatory reviews, audits and compliance projects
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Identify opportunities to improve compliance processes, controls and reporting
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Contribute to the ongoing development of the investment compliance framework
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You will ideally have:
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Minimum 4 years relevant experience across risk and compliance, investment compliance, funds management, financial services
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Robust experience in investment or portfolio compliance
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Good understanding of investment products, portfolios and asset management
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Experience interpreting investment mandates, restrictions and regulatory requirements
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Experience managing compliance breaches, exceptions and remediation
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Strong analytical and problem-solving skills
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Excellent attention to detail and a proactive approach
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Confidence working directly with investment and senior stakeholders
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Strong communication skills, both written and verbal
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Relevant tertiary qualifications in Finance, Commerce, Economics or a related discipline
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APPLY NOW or email your CV to ***email_hidden***
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📌 Investment Compliance Manager (New South Wales)
🏢 GOW Recruitment
📍 New South Wales