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About the Role
The Investment Compliance Manager plays a crucial role in the global investment compliance monitoring framework. This position is responsible for managing substantial shareholding disclosures across various jurisdictions, supporting investment compliance monitoring, market surveillance, and investment risk management for Pinnacle and its affiliates. The role involves daily investment compliance activities, interpreting and implementing investment restrictions, investigating exceptions, ensuring disclosure obligations are met, and monitoring for market abuse.
Responsibilities
- Monitor portfolios against regulatory requirements, Investment Management Agreements (IMAs), Product Disclosure Statements (PDSs), and internal restrictions.
- Provide timely support for pre-trade compliance inquiries, investigate, and approve or reject pre-trade requests.
- Perform post-trade compliance monitoring, investigate breaches and exceptions, and support remediation and escalation.
- Implement, maintain, and review investment compliance rules across portfolios in Order Management Systems (OMSs).
- Review IMAs and PDSs, interpret investment guidelines, and translate requirements into compliance monitoring rules.
- Track investment guideline amendments and support timely implementation of changes.
- Maintain sanctions, exclusion, and restricted lists for portfolio management and personal trading.
- Manage day-to-day substantial shareholding disclosure monitoring and reporting across relevant jurisdictions.
- Support US filings such as 13D/13G and 13F filings.
- Monitor takeover offer periods and support related dealing disclosures.
- Lodge substantial shareholding disclosures within required deadlines.
- Work with internal stakeholders to maintain the accuracy of the substantial shareholding monitoring system and develop practical solutions for regulatory obligations.
- Review surveillance alerts for potential market misconduct and escalate as appropriate.
- Support enhancements to the surveillance system and monitoring processes.
- Assist with implementing and maintaining controls relating to market surveillance, cross-trading, short selling, and other investment compliance risks.
- Investigate compliance incidents, breaches, and regulatory reporting issues.
- Support remediation plans, corrective actions, and appropriate escalation.
- Assist with root-cause analysis and development of control enhancements.
- Maintain clear records of incidents, decisions, and remediation actions.
- Contribute to process and technology improvements for investment compliance monitoring and regulatory reporting.
- Participate in regulatory, system, and business projects, ensuring investment compliance requirements are reflected.
- Maintain effective working relationships with affiliated investment managers and key stakeholders.
- Provide practical, risk-based investment compliance advice and support.
- Support delivery of investment compliance services under relevant service arrangements.
- Work closely with internal stakeholders including Risk and Compliance, Investment Management Services (IMS), Data, Legal, and Client Services.
- Identify opportunities to improve compliance processes, controls, and reporting.
- Escalate complex or material compliance matters to senior team members.
- Contribute to maintaining and updating relevant policies and procedures.
- Support internal and external audits, regulatory reviews, and client due diligence requests.
- Promote knowledge-sharing, consistent practices, and continuous improvement across investment compliance processes.
Requirements
- Around 5 years' experience in investment compliance, including implementing compliance rules, pre- and post-trade compliance monitoring, and substantial shareholding disclosures, gained within an asset manager, investment operations team, or a related funds management or financial services role.
- Good understanding of investment guidelines and related regulatory requirements.
- Hands-on experience coding, testing, and maintaining compliance rules in at least one order management or investment compliance system such as Bloomberg AIM.
- Sound knowledge of financial instruments across asset classes, including equities, fixed income, and derivatives.
- Strong analytical, investigative, and problem-solving skills, with good attention to detail.
- Excellent written and verbal communication skills.
- Ability to manage competing priorities, work independently on day-to-day matters, and escalate appropriately.
- Experience contributing to projects, control enhancements, or process improvements.
- Experience with other regulatory reporting obligations, such as short position or OTC derivatives reporting.
- Sound knowledge of Australian regulatory requirements for fund managers, including the Corporations Act 2001 (Cth) and relevant ASIC regulatory guides.
- Knowledge of offshore regulatory regimes affecting asset managers and investment products, such as UCITS in the UK and Europe, Collective Investment Trusts (CITs) in the US, and substantial shareholding regimes in the UK, Europe, Canada, and the US.
- Experience with market surveillance tools.
Skills
- Investment compliance
- Compliance rule implementation
- Pre-trade compliance monitoring
- Post-trade compliance monitoring
- Substantial shareholding disclosures
- Order management systems (OMSs)
- Bloomberg AIM
- Financial instruments (equities, fixed income, derivatives)
- Analytical skills
- Investigative skills
- Problem-solving skills
- Attention to detail
- Written communication
- Verbal communication
- Priority management
- Independent work
- Project contribution
- Control enhancement
- Process improvement
- Regulatory reporting
- Short position reporting
- OTC derivatives reporting
- Australian regulatory requirements (Corporations Act 2001, ASIC regulatory guides)
- Offshore regulatory regimes (UCITS, CITs)
- Market surveillance tools
Location
- Australia
- UK
- Europe
- Canada
- US
Work Type
- Full-time
Experience Level
- Around 5 years
Education Level
- Tertiary qualifications in finance, economics, law or a related field
About the Company
- Pinnacle and its affiliates have exposures across Australia, the UK, Europe, Canada, the US, and other regions.