Hong Kong
The Risk Management Group (RMG) is an independent, centralised unit responsible for assessing and monitoring risks across Macquarie. This includes market and liquidity risk, credit risk, compliance risk and operational risk. RMG personnel liaise closely with all operating areas to ensure risks are understood and properly managed.
The Compliance Division within Macquarie's Risk Management Group provides compliance support and advice to Macquarie's operating businesses.
Reporting to the Head of the Control Room Asia, you will provide leadership support to the team in managing conflicts and interactions between private and public side businesses to ensure Macquarie fulfils its legal obligations and avoids reputational damage. You will also be the primary point of contact covering Asia's research operations including ensuring global consistency while addressing regional regulatory requirements, assessing policies and procedures, and addressing regulatory change across the region.
The role requires regular interaction with senior management, as well as business groups across the entire organization.
Ideally an experienced compliance practitioner, your key responsibilities will include:
- managing the conflicts clearance and escalation process
- overseeing the policy and procedures for managing conflicts between research analysts and investment banking activities
- providing advice on all compliance and regulatory matters to the investment banking teams across Asia
- assessing and managing daily research operations including the pre-deal research process
- addressing regulatory change affecting the region in particular research and capital markets
- producing and delivering training on key policies and procedures
- supervising other control room functions in Asia, including:
- implementation, communication and maintenance of restrictions on trading and advice
- facilitating Chinese wall crossings from initial request to the resumption of normal duties and maintenance and administration of associated systems
- position reporting
To succeed in this role you possess:
- legal regulatory experience gained within an investment bank , in particular Research and Capital Markets, supported by relevant tertiary qualifications and a solid understanding of Asia's regulatory environment
- an understanding of business drivers and a strategic capability to harmonize compliance process with business needs
- skills in relationship management and persuasiveness
- team leadership capability, either direct or project-related
- strong organizational and communication skills
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