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 portfoliosMonitor portfolios against regulatory requirements, investment mandates and internal restrictionsConduct and review pre- and post-trade compliance monitoringInvestigate, assess and manage investment compliance breaches and exceptionsProvide advice to investment teams on compliance requirements and investment restrictionsMaintain and review investment guidelines and compliance parametersPrepare investment compliance reporting for senior stakeholdersWork closely with Investment, Operations, Product and other internal teamsSupport regulatory reviews, audits and compliance projectsIdentify opportunities to improve compliance processes,



controls and reportingContribute to the ongoing development of the investment compliance frameworkYou will ideally have:Minimum 4 years relevant experience across risk and compliance, investment compliance, funds management, financial servicesStrong experience in investment or portfolio complianceGood understanding of investment products, portfolios and asset managementExperience interpreting investment mandates, restrictions and regulatory requirementsExperience managing compliance breaches, exceptions and remediationStrong analytical and problem-solving skillsExcellent attention to detail and a proactive approachConfidence working directly with investment and senior stakeholdersStrong communication skills, both written and verbalRelevant tertiary qualifications in Finance, Commerce, Economics or a related disciplineAPPLY NOW or email your CV to ***email_hidden***Be careful - Don't provide your bank or credit card details when applying for jobs.
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📌 Investment Compliance Manager (Sydney)
🏢 GOW Recruitment
📍 Sydney