Investment Compliance Manager

Job Title: Investment Compliance Manager
Contract Type: Permanent
Location: Sydney, New South Wales
Salary: Negotiable
Reference: 186319_1535007371
Contact Name: Anson Lam
Contact Email:
Job Published: August 23, 2018 16:56

Job Description

The Company:

Our client is a well-established Investment firm experiencing growth within the market. The fund is seeking an experienced compliance consultant to make a difference and promote the compliance culture.

This role will be ideal for an experienced compliance consultant with extensive experience in superannuation / investments risk and compliance. The ideal candidate will be innovative and looking to build a leading compliance function whilst stimulated with the idea of working within a growing firm with a large client base.

The Role:

  • Manage compliance obligations including AFSL, AML/CTF reviews and on boarding
  • Assist in review and maintenance of compliance framework ensuring compliance with laws and regulation
  • Respond to complaints, incidents or breaches
  • Identify any opportunities or gaps in the business and ensure continuous improvement of operations and controls system
  • Promoting continuous growth by forecasting and capitalising on any emerging opportunities
  • Assess impact of new regulatory requirements
  • Not restricted to the compliance space and will take on a variety of tasks including policy, marketing and investment reviews
  • Input on innovative ideas and insights on any proposed changes relating to the compliance function

You must have:

  • Must have 3+ years experience in investment and risk or regulatory exposure
  • Investment/Legal/Compliance Background
  • Strong understanding of regulatory risk, compliance, change management and process design
  • Excellent stakeholder management
  • Problem solving and genuine interest in achieving business needs
  • AFSL exposure


  • Rewarding and above market remuneration
  • Truly make an impact on a fast-growing start-up
  • Flexible Working Environment

For a confidential discussion please call Anson Lam on 02 8247 5712, email or click on the apply button below.

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