Export Compliance Manager overseeing export compliance programs and processes. Ensuring alignment with global regulatory requirements while partnering with leadership to minimize risks in international trade.
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
Salary
Degree requirement
No Education Requirement
Location requirements
Maintenance Programs Compliance Specialist managing compliance of maintenance programs and changes for Frontier Airlines. Responsible for auditing and oversight of regulatory adherence and program revisions.
Analista Regulatório Júnior at Thymos Energia assisting clients in navigating the energy sector regulations. Monitoring regulations and supporting strategic decision - making for compliance.
Senior Compliance Officer ensuring regulatory compliance at a digital assets boutique specializing in blockchain - based solutions. Collaborating across departments to safeguard company operations.
Compliance Analyst at ElectroRoute monitoring suspicious trading patterns and regulatory compliance. Supporting compliance team with various internal policies and procedures while managing surveillance systems.
Head of Regulatory Function leading quality assessments and degree awarding powers for higher education in the UK. Strategic leadership role shaping regulatory practice and engaging stakeholders.
Director of Compliance at Norm Ai overseeing legal, ethical, regulatory, and data compliance programs. Building a culture of compliance and advising leadership on legal risks in a fast - growing environment.
Bank Regulatory Compliance Analyst II responsible for regulatory monitoring and compliance program support. Supporting compliance efforts and enhancing operational effectiveness across business units.
Senior Benefits Analyst and Compliance Partner analyzing data and ensuring compliance for DigiKey's benefit plans. Collaborating with leadership on special projects and regulatory reporting.
Quality Compliance Intern at Terumo Medical Corporation assisting in regulatory compliance processes. Engaging with suppliers for compliance declarations and improving supplier responsiveness in the medical device sector.