Manager, Portfolio Compliance
AustralianSuper
full-time
Posted on:
Location Type: Hybrid
Location: New York City • New York • United States
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Salary
💰 $210,000 - $290,000 per year
About the role
- 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
Applicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills & Tools
investment compliance monitoringregulatory compliance guidancedisclosure reportingregulatory limits monitoringAML executionKYC executionportfolio management systemscompliance monitoring systemsSEC market regulationsinvestment governance
Soft Skills
judgement on regulatory mattersleadershipinfluence senior stakeholdersmanage complex regulatory environmentssupport scalable compliance frameworks