• Competitive
  • Londres, Angleterre, Royaume-Uni
  • CDI, Plein-temps
  • Macquarie Group
  • 14 juin 18

Risk Management Group - Business Aligned Compliance - Equities, Senior Manager

We are looking to recruit an individual with a minimum of 3/4 year of experience in supporting a cash equities business, experience of supporting research and derivatives whilst not required would be beneficial. The individual will be expected to have experience of:

  • dealing with the day to day queries that arise on a trading floor
  • interactions involving traditional exchanges and trading venues;
  • reviewing and developing policy
  • conducting risk and control reviews and implementing change from identified risk and control gaps
  • operating within a global or international organisation.
  • MiFID implementation

The role requires regular interaction with senior management in Macquarie Securities Group and RMG, as well as business groups across the entire organisation.  The role will give the successful candidate the opportunity to operate in a dynamic and risk conscious environment as a member of an EMEA compliance team of nearly 50.

 In this role the key responsibilities will be to assist with:

  • Ensuring an effective Compliance environment is maintained in CGM Equites;
  • Escalating regulatory risks in CGM Equities;
  • Assisting with the provision of regular management information to senior management;
  • Providing appropriate transactional and regulatory compliance advice;
  • Provide technical advice and support for new product and projects;
  • Working alongside senior management to assess the regulatory risks attributable to Macquarie and formulating and designing appropriate controls (including training, assurance and surveillance) to manage such risks;
  • Assisting Control Room in identifying and managing conflicts of interest and ensuring effective conflict management and insider dealing controls;
  • Reviewing and developing policy and procedures for the CGM Equities business;
  • Assisting in administration of other bankwide policies including privacy, substantial shareholding and anti-money laundering; and
  • Contributing to the wider work of the Compliance team in regional and global projects.

About you

To be successful, you will:

  • Have 3 to 5 years of experience in a cash equities compliance advisory environment;
  • A detailed and current understanding of dealing with situations and transactions that arise in a cash equities environment;
  • Be familiar with the demands and challenges of operating in a global or international environment;
  • Have an interest in having substantial involvement and partnership with the business
  • Possess the ability to work independently, determine priorities and meet deadlines
  • Have strong interpersonal skills, initiative and a good eye for detail
  • Have strong written and verbal communication skills
  • Have the ability to take a pragmatic, commercial approach to compliance whilst achieving desired outcomes
  • Strong organisational, communication and negotiation skills

About us

Macquarie Group (Macquarie) is a global provider of banking, financial, advisory, investment and funds management services.  Our main business focus is making returns by providing a diversified range of services to clients. 

Strong prudential management has been a key to Macquarie's success over many years. The Risk Management Group is an independent, centralised unit responsible for assessing and monitoring risks across the Macquarie Group. The Compliance Division within Macquarie's Risk Management Group provides compliance support and advice to Macquarie's operating businesses.

About Macquarie CGM Equities

Macquarie’s CGM Equites is a global institutional securities house with strong Asia-Pacific foundations covering sales, research, ECM, execution and derivatives activities. It is a full-service institutional cash equities broker in Australia, Asia, South Africa and Canada with offerings in the US and Europe, and retail derivatives in key locations globally.

Macquarie is an equal opportunities employer and does not discriminate on the grounds of age, disability, sex, sexual orientation, gender reassignment, gender identity, marriage, civil partnership, pregnancy, maternity, race (including colour and ethnic or national origins), religion or belief.

Risk Management Group is an independent, centralised unit responsible for ensuring all risk across Macquarie are appropriately assessed and managed. Its divisions include Credit, Prudential, Capital and Markets, Market Risk, Operational Risk, Compliance, Quantitative Applications and Internal Audit.

Find out more about Macquarie careers at www.macquarie.com/careers 

Macquarie understands the importance of diversity and inclusion - our long history of success has come from being different. At Macquarie we value the innovation and creativity that diversity of thought brings. The one thing we all have in common is our focus on high performance. If you're capable, motivated and can deliver, we want you on our team.

Macquarie is an equal opportunities employer and does not discriminate on the grounds of age, disability, sex, sexual orientation, gender reassignment, gender identity, marriage, civil partnership, pregnancy, maternity, race (including colour and ethnic or national origins), religion or belief.

We facilitate a range of flexible working arrangements within our teams. Talk to us about what flexibility may be available.

Londres, Angleterre, Royaume-Uni Londres Angleterre GB