Global Investment Compliance Lead

Pinnacle Investment Management Group; Sydney; On-site; AUD 150,000 - 190,000; Full time

Job summary

Pinnacle Investment Management Group is seeking an Investment Compliance Manager to oversee cross-border shareholding disclosures and monitoring, ensuring adherence to regulatory requirements across Australia, the UK, Europe and beyond.

You will implement compliance rules in OMSs, review IMAs/PDSs, and work with Risk, Legal and IMS to uphold regulatory obligations while supporting market surveillance and incident management.

Qualifications

• Around 5 years’ experience in investment compliance within asset managers or funds services.
• Strong understanding of investment guidelines and regulatory requirements.
• Hands-on experience coding, testing and maintaining rules in OMS or compliance systems.
• Broad knowledge of instruments including equities, fixed income and derivatives.

Responsibilities

• Monitor portfolios for regulatory and internal compliance, pre- and post-trade checks.
• Manage substantial shareholding disclosures across jurisdictions including Australia and UK.
• Review surveillance alerts for potential market misconduct and support system enhancements.
• Investigate incidents, breaches and regulatory reporting with remediation actions.
• Contribute to process and technology improvements for compliance monitoring.
• Liaise with Risk, Legal, IMS and affiliates to deliver compliant services.
• Support audits, reviews and client due diligence requests related to investment compliance.

Skills

5+ years exp in investment compliance

Regulatory guidelines knowledge

Bloomberg AIM / OMS coding

Investments across asset classes

Analytical & problem-solving

Communication skills

Priorities management

Project involvement

Tools

Bloomberg AIM

Job description

Pinnacle Investment Management Group is seeking an Investment Compliance Manager to oversee cross-border shareholding disclosures and monitoring, ensuring adherence to regulatory requirements across Australia, the UK, Europe and beyond.

You will implement compliance rules in OMSs, review IMAs/PDSs, and work with Risk, Legal and IMS to uphold regulatory obligations while supporting market surveillance and incident management.