Investment Compliance Manager

Job Title: Investment Compliance Manager
Contract Type: Permanent
Location: Sydney, New South Wales
Salary: Negotiable
Reference: 186319_1531803386
Contact Name: Anson Lam
Contact Email:
Job Published: July 17, 2018 14:56

Job Description

The Company:

Our client is a growing Investment firm which has a requirement for an experienced investment compliance manager to assist with the continuous change in regulations and standards within the industry.

This role will be ideal for an experienced compliance consultant with extensive experience in superannuation / investments compliance. The primary responsibilities include projects covering Data Protection, AML/CTF, policy changes/reviews.

The Role:

  • Assist in the delivery and preparation of Corporate Compliance, AML/CTF and policy reviews
  • Identify any opportunities to work towards minimisation of legal risk across the firm
  • Conduct training across multiple teams on key compliance matters
  • Assist with the implementation of compliance and policy strategies
  • Assist in review and maintenance of company's framework
  • Promote continuous growth by ensuring continuous improvement and capitalising on emerging opportunities
  • Not restricted to the compliance space and will take on a variety of ad hoc tasks including policy, marketing and investment reviews

You must have:

  • Must have 3+ years experience in investment and risk or regulatory exposure
  • Investment/Legal/Compliance Background
  • Proven exceptional stakeholder management ability
  • Exceptional communication, written and verbal skills.
  • Problem solving and genuine interest in achieving business needs


  • Above market remuneration
  • Make an impact on a growing firm
  • 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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