Compliance Analyst - Funds Management

JS Careers; Sydney; On-site; AUD 120,000 - 180,000; Full time

Benefits offered by this job

Competitive base salary and bonus

Benefits package

Job summary

JS Careers Pty is seeking a Senior Analyst to join the Asia Pacific Compliance team in Sydney. The role focuses on embedding regulatory requirements into day-to-day activities across the Australian business, working closely with portfolio management, trading, operations, legal and distribution teams.

You will support AFSL obligations, breach assessment, surveillance, client due diligence and regulatory reporting, while collaborating with global compliance colleagues on APAC initiatives.

Qualifications

• 2+ years of compliance experience in asset management, funds management or financial services
• Working knowledge of the Corporations Act, ASIC regulatory guides, and AFSL and managed investment scheme obligations
• Exposure to compliance monitoring, testing or surveillance
• Strong written and verbal communication, with the confidence to engage stakeholders at all levels
• Sound judgement, attention to detail and a pragmatic, risk-based approach
• Desirable exposure to fixed income, derivatives or multi-asset products

Responsibilities

• Provide practical compliance advice to front-office and distribution teams on Australian regulatory requirements
• Execute the compliance monitoring and testing program, including trade surveillance, personal account dealing, best execution and allocation
• Support AFSL obligations, including breach identification, assessment, escalation and regulatory reporting
• Contribute to conflicts of interest, gifts and entertainment, and outside business activities frameworks
• Review marketing materials, client communications and fund documentation
• Support regulatory change impact assessments and policy updates
• Maintain compliance policies and procedures, and support annual attestations and training
• Assist with regulatory reviews, audits and client due diligence requests
• Collaborate with global compliance teams on firm-wide and APAC initiatives

Skills

Regulatory compliance

Stakeholder engagement

Attention to detail

Communication skills

Pragmatic risk-based approach

Education

Tertiary qualifications in law, commerce, finance or a related field

Job description

Our client is one of the world’s leading global fixed income investment managers, serving institutional and retail clients worldwide. Their Australian business operates under an AFSL and is regulated by ASIC. They are known for a collaborative culture, deep investment expertise and strong career development.

The Opportunity

You will join the Asia Pacific Compliance team as a Senior Analyst, supporting the Australian business and its regulatory obligations. You will work closely with portfolio management, trading, operations, legal and distribution teams, as well as global compliance colleagues, to embed regulatory requirements into day-to-day business activity.

Key Responsibilities

• Provide practical compliance advice to front-office and distribution teams on Australian regulatory requirements

• Execute the compliance monitoring and testing program, including trade surveillance, personal account dealing, best execution and allocation

• Support AFSL obligations, including breach identification, assessment, escalation and regulatory reporting

• Contribute to conflicts of interest, gifts and entertainment, and outside business activities frameworks

• Review marketing materials, client communications and fund documentation

• Support regulatory change impact assessments and policy updates

• Maintain compliance policies and procedures, and support annual attestations and training

• Assist with regulatory reviews, audits and client due diligence requests

• Collaborate with global compliance teams on firm-wide and APAC initiatives

About You

Essential

• 2+ years of compliance experience in asset management, funds management or financial services

• Working knowledge of the Corporations Act, ASIC regulatory guides, and AFSL and managed investment scheme obligations

• Exposure to compliance monitoring, testing or surveillance

• Strong written and verbal communication, with the confidence to engage stakeholders at all levels

• Sound judgement, attention to detail and a pragmatic, risk-based approach

• Tertiary qualifications in law, commerce, finance or a related field

Desirable

• Exposure to fixed income, derivatives or multi-asset products

• Familiarity with trade surveillance or compliance monitoring tools

• Experience in a global or matrixed organisation

• Knowledge of FAR, DDO and market integrity rules

What’s on Offer

• A role with a globally recognised investment manager, with exposure to Asia Pacific and global compliance teams

• A high-calibre, collaborative team and strong career development

• Competitive base salary, bonus and benefits