Compliance Analyst

About this role

Junior Trade Compliance Assistant – Investment Group

Join a high‑performing investment group as a Junior Trade Compliance Assistant, supporting the daily monitoring of trading activity, mandate compliance, and regulatory obligations across multiple asset classes. This is an excellent opportunity for someone early in their financial services career who is eager to build technical skills and gain exposure to trade monitoring, investment compliance, and portfolio oversight.

You’ll work closely with senior compliance and investment professionals, ensuring the group’s trading activity remains accurate, compliant, and aligned with client mandates.

The Role

You will assist in the day‑to‑day compliance monitoring of trades, portfolios, and investment activity. This role is hands‑on, detail‑focused, and ideal for someone who enjoys problem‑solving, learning quickly, and working in a fast‑paced environment.

Key Responsibilities

• Trade monitoring — support daily pre‑ and post‑trade checks to ensure compliance with mandates and regulatory rules
• Breach identification — assist in identifying, escalating, and documenting potential breaches or exceptions
• Portfolio compliance — help monitor investment guidelines, restrictions, and exposure limits
• Data validation — ensure accuracy of trade data, pricing, and portfolio information
• Regulatory support — assist with compliance reporting and regulatory obligations
• Internal coordination — work with investment, operations, and risk teams to resolve queries
• Process improvement — contribute to enhancing monitoring tools, workflows, and documentation

Skills & Experience You may come from a fund services, operations, middle office, or graduate‑level financial services background.

You will bring

• Strong attention to detail and analytical thinking
• Interest in investment compliance, trading, or portfolio monitoring
• Excellent communication skills and willingness to learn
• Ability to work collaboratively in a fast‑paced environment
• Tertiary qualifications in Finance, Commerce, Economics, Law, or similar

About compliance & regulatory roles for ex-police

Compliance, AML/CTF and regulatory roles. Working to AUSTRAC, ASIC and APRA obligations is a stronger regulatory grounding than most civilian applicants can offer — firms increasingly recognise this.