Investment Compliance Manager

GOW Recruitment; Sydney; On-site; AUD 120,000 - 180,000; Full time

Job summary

Gow Recruitment is seeking an experienced Investment Compliance Manager to join our funds management client in Sydney. This hands-on role reports to the COO and oversees investment compliance across portfolios, monitoring activity and ensuring regulatory and internal mandate adherence.

You will collaborate with Investment, Operations, Product and other teams, conduct pre- and post-trade reviews, manage breaches, and contribute to improving the compliance framework.

Qualifications

• Minimum 4 years relevant experience across risk and compliance, investment compliance, funds management, financial services.
• Strong experience in investment or portfolio compliance and monitoring.
• Experience interpreting investment mandates, restrictions and regulatory requirements.
• Excellent attention to detail and proactive approach.

Responsibilities

• Oversee investment compliance monitoring across portfolios and ensure alignment with regulatory requirements and internal mandates.
• Conduct and review pre- and post-trade compliance monitoring.
• Investigate, assess and manage compliance breaches and exceptions.
• Provide advice to investment teams on compliance requirements and restrictions.
• Maintain and review investment guidelines and reporting to senior stakeholders.

Skills

Investment compliance

Regulatory understanding

Stakeholder engagement

Analytical skills

Education

Tertiary qualification in Finance, Commerce or Economics

Tools

MS Excel

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.

Key responsibilities include:

• Oversee investment compliance monitoring across portfolios
• Monitor portfolios against regulatory requirements, investment mandates and internal restrictions
• Conduct and review pre- and post-trade compliance monitoring
• Investigate, assess and manage investment compliance breaches and exceptions
• Provide advice to investment teams on compliance requirements and investment restrictions
• Maintain and review investment guidelines and compliance parameters
• Prepare investment compliance reporting for senior stakeholders
• Work closely with Investment, Operations, Product and other internal teams
• Support regulatory reviews, audits and compliance projects
• Identify opportunities to improve compliance processes, controls and reporting
• Contribute to the ongoing development of the investment compliance framework

You will ideally have:

• Minimum 4 years relevant experience across risk and compliance, investment compliance, funds management, financial services
• Strong experience in investment or portfolio compliance
• Good understanding of investment products, portfolios and asset management
• Experience interpreting investment mandates, restrictions and regulatory requirements
• Experience managing compliance breaches, exceptions and remediation
• Strong analytical and problem-solving skills
• Excellent attention to detail and a proactive approach
• Confidence working directly with investment and senior stakeholders
• Strong communication skills, both written and verbal
• Relevant tertiary qualifications in Finance, Commerce, Economics or a related discipline

APPLY NOW or email your CV to ***email_hidden***

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