Associate, Compliance - Regulatory
Core
Managing and administering the firm's compliance programme covering marketing material review, compliance monitoring, AML/KYC checks, incident management, licensing, governance, and audit coordination for a global fixed income investment firm.
Role type
Associate compliance officer (regulatory)
Builds
Compliance programmes, regulatory reports, and training materials for a fund complex and mandate clients
Domain
Financial services / Fixed income / Regulatory compliance
Deliverable
dashboards & analysis
Required skills
Regulatory compliance knowledge, AML/KYC procedures, marketing material review, incident management, audit coordination, stakeholder advisory
Preferred skills
Legal or audit background, experience with ASIC/AUSTRAC regulations
Technologies
Unit registry systems, e-surveillance tools, compliance monitoring platforms
Responsibilities
Review marketing materials and product documents; conduct personal trading and social media surveillance; perform AML/KYC onboarding and transaction monitoring; manage incidents, breaches, and complaints; handle licensing applications and regulatory reporting; prepare compliance committee and board packs; coordinate internal and external audits; administer compliance training programs; support client operational due diligence; oversee ETF continuous disclosure obligations.
Seniority
Associate, individual contributor
