Compliance Manager overseeing JCI’s anti - corruption program in India. Collaborating with regional compliance and legal teams to resolve compliance issues and train personnel.
About the role
- Manager for Portfolio Compliance overseeing investment compliance and regulatory guidance in New York at AustralianSuper. Leading compliance monitoring and governance for investment activities.
Responsibilities
- Lead portfolio compliance monitoring and reporting (pre‑ and post‑trade), leveraging compliance tools to identify, investigate and escalate issues across internally managed investment strategies.
- Oversee governance of wall crossing and information barrier processes across public and private markets, ensuring appropriate controls, documentation and MNPI handling.
- Manage mandate breaches, regulatory incidents and other compliance issues, coordinating investigation and remediation with stakeholders and escalating matters in line with governance requirements.
- Provide US‑focused regulatory compliance guidance, including assessment of investment‑related incidents for potential US regulatory implications and supporting required notifications and reporting.
- Oversee disclosure reporting, regulatory limits monitoring and AML/KYC execution, working closely with Line 1 stakeholders, Compliance teams and US investment teams.
- Operate as part of a global Portfolio Compliance team, working closely with colleagues in London and Australia to deliver portfolio compliance oversight for US investment activities and regulatory requirements.
Requirements
- Experience in investment compliance monitoring (Line 1 or Line 2) within a major financial institution, ideally with exposure to funds management and capital markets.
- Experience using portfolio management and compliance monitoring systems, preferably Blackrock Aladdin.
- Experience supporting wall crossing / information barrier processes, including handling of MNPI.
- Deep knowledge of SEC market regulations and investment governance; cross-jurisdictional experience in Australia or the UK is a significant plus.
- Strong ability to exercise judgement on regulatory and compliance matters impacting investment activities.
- Ability to lead processes and influence senior stakeholders across investment and operational teams.
- Demonstrated capability to manage complex regulatory environments and support scalable compliance frameworks.
- A strong understanding of, and experience in managing, KYC and AML frameworks.
Benefits
- Health insurance
- 401(K) matching
- Flexible working hours
- Paid time off
- Remote work options
Job title
Job type
Experience level
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Degree requirement
No Education Requirement
Location requirements
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