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Investment Compliance Manager

Written by Anton Murray Consulting on .

Location: Sydney

Salary description: AUD $120-140k

  • $100-150k AUD Equivalent
  • Permanent
  • 7 to 10 years of experience

Our client is a leading US provider of financial services on a worldwide scale seeking an Investment Compliance Manager to join their Sydney team.

The Investment Compliance Manager is responsible for supporting the Head of Compliance with the management and oversight of the day-to-day operations of the Investment Compliance team.

Key responsibilities:

The Investment Compliance Manager is responsible for ensuring overall performance of the team, quality of output and general high level of client service as it relates to Funds Investment Compliance.

Main responsibilities will include managing a team of 7 staff as well as:

  • BAU workflow organisation and management for agreed clients (oversight / checking / audit / cross training / coverage)
  • Delivery of BAU in a consistently timely and accurate manner
  • Escalation point for queries and non standard report requests
  • Providing product knowledge support to new or junior staff and the wider business

Experience & Qualifications required:

  • Tertiary qualifications and/or relevant Investment Compliance experience within within a financial institution. Extensive knowledge of how to monitor investment compliance and funds management administration
  • Knowledge and experience in investment risk management and compliance including the use of control checklists and a commitment to maintaining and educating around key risk policies .
  • Awareness of how and when to escalate complex issues and the ability to foster a questioning, improvement and escalation culture is key

Required:

  • Strong understanding of financial markets and investment management processes, including back office functions.
  • Investment Compliance experience (5+ years) from either a custody or funds management background
  • Strong Microsoft Excel skills, especially macros (VBA)
  • Knowledge of relevant industry standards, plus ability to review and interpret IMA rules and guidelines
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