Compliance manager
We are seeking a self motivated, experienced individual to join a team that supports the investment banking activities of the firm as well as managing the private side activities of all other business groups such as Fixed Income and Commodities Group, Corporate Asset and Finance Group and the Macquarie Infrastructure and Real Assets Group in order to manage potential conflicts.
This role will also act as key control liaison between private and public side teams to ensure Macquarie fulfils its legal and regulatory obligations and avoids reputational damage. The role requires regular interaction with senior management, as well as business groups across the entire organisation. The role will give the successful candidate the opportunity to understand the operations of all of the business groups of the firm, and to work with a motivated, professional global team of 6 regionally, and 20 globally. In this role, working with the head of the Control Room and Macap Compliance, your key responsibilities will include:
• Ensuring the integrity of the firms Chinese Walls and information barriers;
• Providing advice on all compliance and regulatory matters to the corporate advisory teams in London, South Africa and Germany;
• Managing the conflicts clearance and escalation process
• Developing procedures and systems as required to enhance conflict management and insider dealing controls
• Review of outside business interests from a conflicts perspective, including external directorships
• Implementation, communication and maintenance of restrictions on trading and advice
• Overseeing the policy and procedures for managing conflicts between research analysts and corporate broking personnel and investment banking activities
• Facilitating Chinese wall crossings from initial request to the resumption of normal duties and maintenance and administration of associated systems
• Produce and deliver training on key policies and procedures
• Assisting in administration of other bankwide policies including privacy, substantial shareholding and anti-money laundering
• Supporting position reporting
• Addressing staff dealing enquiries including obtaining exemptions for employees
• Contribution to the wider work of the Compliance team in regional and global projects
To be successful, you will:
• Have gained at some solid experience in an investment banking, legal or regulatory environment, preferably with experience in financial services compliance
• Posses a working knowledge of United Kingdom capital markets and financial services laws, regulatory environment and products, and preferably some experience of European, Middle East or African requirements
• 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
• Demonstrated team leadership capability, either direct or project related
• Strong organisational, communication and negotiation skills
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.
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