Join a leading global investment manager in a newly created Sydney-based compliance role.

The opportunity

This global investment manager operates its own Australian fund complex, acting as both Responsible Entity and Investment Manager across a broad range of registered funds, unregistered funds and ETFs, alongside around 30 separate mandate clients. You’ll support two senior compliance professionals on all regulatory compliance matters, with occasional regional coverage for other APAC offices.

Key responsibilities

- Review marketing materials and product-related documents
- Carry out compliance monitoring and testing, including personal trading, e-surveillance, social media surveillance, and gifts and entertainment
- Conduct AML/KYC onboarding and ongoing checks, oversee the unit registry and review transaction monitoring
- Manage incidents, breaches, complaints, conflicts of interest and related party transactions, and maintain compliance registers
- Handle licence applications and cessations,



and regulatory enquiries and reporting to ASIC and AUSTRAC
- Prepare Compliance Committee and Board packs
- Coordinate and support internal and external audits
- Advise the business, track regulatory developments and help enhance the compliance programme
- Run the compliance training program, including RG 146 and Responsible Manager training
- Support client operational due diligence
- Oversee ETF continuous disclosure and listing obligations

About you

- 2+ years’ experience in legal, compliance or audit within financial services
- Degree in finance, accounting or law
- Robust communication and collaboration skills
- Self-motivated, resourceful and comfortable working autonomously
- Able to perform under pressure with strong organisation and time management

For a confidential conversation, please apply or contact Lauren Judge at JS Careers on [email protected]

📌 Compliance Associate - Global Asset Manager (Sydney)
🏢 JS Careers
📍 Sydney