Investment Compliance Manager - Funds Management

GOW Recruitment; Sydney; On-site; AUD 120,000 - 150,000; Full time

Job summary

GOW Recruitment is seeking an experienced Investment Compliance Manager for a funds management client in Sydney. The role oversees compliance monitoring across portfolios, ensuring adherence to regulatory mandates and internal requirements, and reporting to the COO.

The ideal candidate has 4+ years in risk and compliance within funds management, strong regulatory knowledge, and the ability to advise investment teams on restrictions. The position is Sydney‑based and hands-on.

Qualifications

• Minimum 4 years relevant experience across risk and compliance, investment compliance, funds management or financial services.
• Strong experience in investment or portfolio compliance.
• Understanding of investment products, portfolios and asset management.
• Experience interpreting investment mandates, restrictions and regulatory requirements.
• Experience managing compliance breaches, exceptions and remediation.

Responsibilities

• 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.

Skills

Investment compliance

Regulatory knowledge

Stakeholder comms

Analytical skills

Breach remediation

Education

Finance/Commerce/Economics degree

Job description

Investment Compliance Manager - Funds Management

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

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