Investment Compliance Manager - Global Framework

Platinum Pacific Partners; Sydney; On-site; AUD 150,000 - 210,000; Full time

Job summary

Platinum Pacific Partners is seeking an Investment Compliance Manager to join its investment compliance function. You will support investment compliance monitoring, substantial shareholding disclosures and market conduct oversight across domestic and international markets.

You will work within a global compliance framework, coordinating with internal stakeholders in Australia and offshore markets to translate investment requirements into practical monitoring rules and controls.

Qualifications

• 5+ years in investment compliance or related role.
• Experience translating investment requirements into monitoring rules.
• Experience managing substantial shareholding disclosures.
• Hands-on experience configuring and maintaining compliance rules in an OMS/IMS.

Responsibilities

• Manage investment compliance monitoring across portfolios to ensure mandates and regulations are followed.
• Review IMAs and PDSs and translate requirements into monitoring rules.
• Handle pre-trade and post-trade monitoring, investigate exceptions and breaches, assist remediation.
• Implement and test compliance rules within OMS/Bloomberg AIM.
• Manage substantial shareholding disclosure obligations across multiple jurisdictions (AU, UK, Europe).
• Monitor takeover periods and support regulatory disclosures.
• Review market surveillance alerts and controls related to insider trading and market manipulation.
• Collaborate with Investment Managers, Risk & Compliance, Legal, and other stakeholders.
• Contribute to system enhancements and regulatory change initiatives.

Skills

Investment compliance

Pre-trade monitoring

Post-trade monitoring

OMS configuration

Regulatory reporting

Analytical skills

Stakeholder management

Communication

Tools

Bloomberg AIM

Charles River

BlackRock Aladdin

Job description

I am exclusively partnering with a well-established and highly regarded investment management firm with a strong presence in the Australian market and an international footprint. The organisation offers a dynamic and collaborative environment, with exposure to a diverse range of investment strategies and activities across domestic and international markets.

An opportunity has arisen for an Investment Compliance Manager to join its investment compliance function, playing an important role in supporting investment compliance monitoring, substantial shareholding disclosures and market conduct oversight across multiple jurisdictions.

The Opportunity

Working as part of a global investment compliance framework, you will be responsible for a broad range of investment compliance activities, working closely internal stakeholders across Australia and offshore markets.

Key responsibilities will include:

• Managing investment compliance monitoring across portfolios, ensuring adherence to investment mandates, regulatory requirements, investment guidelines and internal restrictions.
• Reviewing Investment Management Agreements (IMAs) and Product Disclosure Statements (PDSs), translating investment requirements into practical compliance monitoring rules.
• Managing pre-trade and post-trade compliance monitoring, investigating exceptions and breaches and supporting appropriate remediation.
• Implementing, maintaining and testing investment compliance rules within Order Management Systems (OMS), including Bloomberg AIM.
• Managing substantial shareholding disclosure obligations across Australia, the UK, Europe and other international jurisdictions.
• Monitoring takeover offer periods and supporting associated regulatory disclosure requirements.
• Reviewing market surveillance alerts and supporting controls relating to insider trading, market manipulation, short selling and other investment compliance risks.
• Working closely with investment managers, Risk & Compliance, Legal, Investment Management Services and other internal stakeholders.
• Contributing to system enhancements, regulatory change initiatives and process improvements to strengthen the global compliance framework.

About You

You will bring a strong foundation in investment compliance, ideally gained within an asset management, funds management or investment operations environment.

You will ideally have:

• Approximately 5 years' experience in investment compliance, portfolio compliance or a related investment management role.
• Practical experience with pre-trade and post-trade investment compliance monitoring and the interpretation of investment guidelines and restrictions.
• Experience managing or supporting substantial shareholding disclosures and associated regulatory reporting obligations.
• Hands-on experience configuring, implementing and maintaining compliance rules within an OMS or investment compliance platform, such as Bloomberg AIM, BlackRock Aladdin or Charles River
• A sound understanding of financial instruments across asset classes, including equities, fixed income and derivatives.
• Strong analytical and investigative capabilities, with the confidence to assess exceptions, identify potential risks and recommend appropriate action.
• The ability to build effective relationships with investment professionals and provide practical, commercially minded compliance advice.
• Excellent communication skills, strong attention to detail and the ability to manage competing priorities.
• Exposure to international regulatory regimes, market surveillance systems and additional reporting requirements, will be advantageous.

Why Consider This Opportunity?

• Join an established and highly regarded Australian investment management group.
• Gain exposure to a diverse range of investment strategies.
• Work within a global investment compliance framework with exposure to multiple international markets.
• Take ownership of a varied and technically interesting investment compliance remit.
• Be part of a collaborative team with opportunities to contribute to ongoing process and technology enhancements.

If you have a background in investment compliance and are looking for an opportunity to broaden your exposure within a sophisticated investment environment, we would welcome a confidential discussion.