Compliance Analyst- Global Asset Manager

Written by Anton Murray Consulting Consulting on .

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Location: Sydney

Salary description: $60,000 - $70,000 base + super

  • $50-100k AUD Equivalent
  • Permanent
  • 3 to 7 years of experience

Our client is a leading US Asset Manager seeking an additional headcount in their compliance function.

The role of the Compliance Associate is to support the compliance and risk management program relating to the  Australian business.

The successful applicant will assist in monitoring adherence to investment guidelines, local regulatory requirements and global group standards.

Key Responsibilities:

  • Support the compliance and risk management programs, including perform periodic testing and reporting.
  • Maintain and update compliance registers.
  • Liaise with service providers on trust compliance risk-related issues.
  • Lodgement of regulatory filings.
  • Review marketing, promotional and communication materials to mitigate mis-selling and reputational risk.
  • Maintain up-to-date documentation of compliance policies and procedures.
  • Assist with breaches and errors and ensure proper reporting, escalation and corrective measures are taken.
  • Liaise with investment managers on compliance certifications, licensing and violations.
  • Assist the APAC Head of Compliance with regional compliance tasks, regional projects and coordination, as required. Assist with compliance training for new and existing employees.
  • Assist in the preparation of Committee papers.
  • Assist in responding to requests for information and documentation from internal and external stakeholders
  • Assist with other tasks as requested from time to time by the Head of Compliance.

Experience required:

  • Undergraduate degree in business, law or a related disciple
  • 2+ years in a similar function in financial services, ideally asset management
  • Able to demonstrate an ability to work in a control function
  • General knowledge or capacity to acquire knowledge of regulatory environment for financial services in Australia
  • General knowledge or capacity to acquire knowledge of regulatory requirements of anti-money laundering and combating terrorist financing
  • General knowledge or capacity to acquire knowledge of control concept as well as compliance rules and regulations
  • Excellent organizational skills, deadline driven.
  • Strong oral and written communication skills and fluent in English.
  • High level of attention to detail
  • Willingness and ability to learn


Contact Us in Sydney


Phone:+61 2 8246 8900

Hiring Staff: hire@antonmurray.com

Seeking Work: apply@antonmurray.com

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