Compliance Officer - Investment Management

Keegan Adams

Global Investment Manager with a superb reputation | Seeking 1-3 years experience from industry with exposure to compliance & reporting duties

  • Highly regarded Global Investment Manager
  • Would suit 1-3 years broad compliance/risk experience from investments
  • Work with an experienced and stable team with a strong development culture
This Global Fund Manager has built an outstanding reputation in the market from decades of high performance and industry leading investments. They are seeking a Compliance Officer to join their highly experienced Legal & Compliance team.

Join a team where you will be exposed to Compliance and Investment Risk, liaising with stakeholders both locally and regionally.

You will assist with the implementation and administration of compliance frameworks and processes to ensure that relevant business risks are identified, assessed, monitored and managed appropriately.

Working within a very experienced and supportive team, you will be involved in a diverse range of responsibilities including;

  • Day to day monitoring of investment guideline compliance, advising team of warnings/alerts and breaches.  
  • Substantial shareholdings monitoring and reporting.
  • Assist with regulatory compliance support to ASIC.
  • Prepare materials to support internal and external audits.
  • Prepare monthly compliance reports for clients.
  • Maintain a range of registers and certificate in line with regulatory and operational compliance frameworks.
  • Participate in ad hoc compliance monitoring reviews.
To be successful:
You will be degree educated (finance/economics /law) and have a minimum of 1-3 years from investment management where you have been exposed to compliance in either a direct compliance or operational role.

You will have a good knowledge of financial securities, including equities and fixed interest, gained through tertiary experience or study. Charles River experience would also be a benefit.

You will demonstrate excellent attention to detail, the ability to prioritise and meet deadlines and communicate at all levels across a business. 


If this sounds like the opportunity you are looking for, please send your cover letter and resume to Claire Tate via the apply link on this website, or call 9216 6733 for a confidential discussion.