Investment Compliance Analyst

Apply now Job no: 613303
Work type: Permanent Full Time
Location: Sydney
Categories: Funds & Investment Management, Risk & Compliance

AMP Capital

AMP Capital is a global investment management business and is with a diversified asset class mix.  As part of the AMP Group, we share a heritage that spans over 160 years.

Our home strength in Australia and New Zealand has enabled us to grow internationally, and today we have operations established in the Middle East, China, Hong Kong, India, Ireland, Japan, Luxembourg, the United Kingdom and the United States. We also collaborate with a network of global investment partners, leveraging our shared capabilities to provide greater access to new investment opportunities.

Our asset class specialists, investment strategists and economists work together with the aim of delivering strong investment outcomes for clients. That is why our clients trust us to invest over A$200 billion (as at 30 June 2019) on their behalf, across a range of single sector and diversified funds.


Investment Compliance

The Investment Compliance (IC) team sits within the wider Global Investment Operations & Control division and is responsible for monitoring investment compliance. MC team members are based in Sydney and Wellington


Purpose of the role

Reporting to the Senior Manager, Investment Compliance, the role is based in Sydney and is responsible for the monitoring of investment restrictions and limitations across all entities managed by AMP Capital (AMPC).


With the AMPC Investment management function spread across the globe, this role provides investment compliance monitoring services to AMPC front office teams globally in particular the UK and US time zones.


What the role entails:

  • Daily investment compliance monitoring of limits, restrictions & investment guidelines sourced from IMA’s, Derivative risk statement and AMPC developed internal investment related policies.
  • Monitoring covers all asset classes and markets across the globe.
  • Breach reporting, rectification and resolution.
  • Real time engagement with front office to resolve Pre-Trade compliance issues.
  • Change management responsibilities including new setups and changes to existing involving interpretation, quantifying, coding and testing across Charles River and BRS Aladdin systems.
  • Working closely with IT to leverage resources and tools available to tailor solutions for compliance monitoring requirements.
  • Enterprise and client-specific reporting.
  • Participation in ad-hoc projects.



  • Excellent analytical, problem-solving and incident management skills.
  • Ability to clearly communicate complex matters to various levels of management.
  • Good knowledge domestic as well as international markets across all asset classes.
  • Proven ability to deliver strong outcomes with a solution focused approach to work.
  • Ability to work and perform independently as part of a global team, including occasional coverage for Ausralian and Asian markets/time zones as required by the wider team.


Recruitment agencies: please note that we are not seeking assistance on this role. Should we require assistance we may reach out to our network of preferred agency partners once this ad has expired. Be aware that you are not considered engaged on a role until it has been released by Talent Acquisition through our agency portal. We do not pay recruitment fees on candidate profiles/resumes introduced through any other method.

Advertised: AUS Eastern Standard Time
Applications close: AUS Eastern Standard Time

Back to search results Apply now Refer a friend

Share this:

| More

Applicant Login

Refine search

Work type