Compliance Manager- Electronic Communications, RMG, New York
Macquarie Group (Macquarie) is a global provider of banking, financial, advisory, investment and funds management services. Macquarie's main business focus is making returns by providing a diversified range of services to clients. Founded in 1969, Macquarie employs more than 13,600 people in 28 countries.
At Macquarie we offer you the experience and freedom to grow your career whilst making your mark within a highly successful organization. Key to our success is the entrepreneurialism we encourage in all our people. We give you the opportunity to progress your career as quickly as you can demonstrate your ability.
We are currently seeking a lead compliance expert responsible for managing the regulatory framework of Macquarie's electronic communications environment globally, with a particular focus on US and Canadian electronic communications compliance regulatory matters; as well as having specific knowledge of laws concerning financial records, privacy and ethics. The eComm manager should be able to identify areas of corporate vulnerability or risk and educate the workforce on how to decrease that risk. Responsible for global electronic communications strategy, maintaining list of regulatory risk requirements, as well as day-to-day answering compliance questions from IT and Businesses regarding regulations, products services and competition.
This role would suit a dynamic self-starter who can take the eComm Compliance program to the next level and enjoys working across teams and jurisdictions.
Working closely with Business leads, Records Management program, US Compliance Operations Surveillance team, Legal discovery team, Head of Monitoring and Surveillance, COG IT and iRisk Tech Compliance counterpart to support their requirements, the eComm Manager ultimately has authority (including budgetary) to accept / reject eComm user access, tool and channel proposals; and requesting system changes.
In this role you will:
- Have a detailed knowledge of supervision rules and practices, surveillance, retention rules and regulations as they apply to Canada and USA
- Be broadly familiar with global e-Communication Supervision, Surveillance and Retention Rules and Regulations as they apply to other regions such as EMEA, Asia, Australia/NZ and South America
- Chair global compliance working groups on electronic communications and social media and drive meaningful outcomes.
- Be broadly familiar with corresponding global privacy, legal and HR rules as they apply to Americas, EMEA, Asia, Australia/NZ - employees and client communications
- Represent Macquarie with industry groups (e.g. SIFMA, CFTC) and preparing regulator responses
- Be able to advise how regulatory rules can be enacted through current technology offering; conversely able to advise on gaps in current infrastructure and work with counterparts to plan remediate or mitigation strategies
- Understand compliance risks and benefits of technology proposals e.g. BYOD, supervision software, regulators views on internal versus cloud hosting and outsourcing. Can participate in user testing, prepare discussion papers and advise senior management
- Develop policies and conduct training material deliver education (including system training) to business
Currently used services
Must be expert on being able to apply regulatory and business framework and functions (including strengths weaknesses) over the following electronic communication services:
- SMS/BlackBerry Messenger/BlackBerry Pin-to-Pin
- Good Technology
- Actiance Socialite software
- Social media sites through Actiance: LinkedIn, Twitter, Facebook, You Tube
- Bloomberg (terminals, software and 3 rd party software hosted through Bloomberg e.g. Twitter, Yahoo, AOL)
- IM's (AOL, Yahoo, Office Communicator etc )
Blackberry handsets + installed BlackBerry software + 3 rd party applications
- Voice, video recordings
- BYOD software on the devices
- Understanding of new and upcoming sites and market trends
Macquarie is an equal opportunity employer (M/F/D/V).
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