Risk and Compliance Manager – Capital Markets recruitment
The BFS Risk Compliance Manager is part of the Macquarie Banking and Financial Services (BFS) Risk and Compliance team. The role has primary responsibility for providing risk compliance support to the BFS Capital Markets business (capital raising activity, co-investments etc) including Macquarie Private Wealth (MPW) research business and secondary focus on the MPW retail financial services business.
The role is to ensure Macquarie meets relevant regulatory obligations and manages its operational risks including reputational risk. This is achieved by:
- Providing guidance, performing risk assessments, surveillance and monitoring; and
- Internal frameworks such as the deal committee governance, operational risk framework and risk management framework policies.
The role requires regular interaction with BFS senior management, BFS Legal, Risk management Group (RMG) Control Room, and various other Macquarie business groups across the organisation.
Key Responsibilities
- Review potential capital raisings from a risk perspective, providing guidance and approvals on transactions, in order to protect Macquarie and its clients.
- Provision of risk support and knowledge in relation to capital markets regulations in a retail environment
- Chinese wall management.
- Conflicts Management.
- Review and approval of transaction documents
- Ongoing development and enhancement of the Risk Framework supporting the Capital Markets area in line with changing regulatory and business environment
- Disclosure Management
- Providing risk advice and guidance on the distribution of capital raisings.
- Provision of support to the Macquarie Private Wealth Research function
- Other Risk and Compliance responsibilities as necessary
Knowledge, Skills and Experience
- Regulatory compliance experience gained within an investment bank, corporate finance or Equity Capital Markets.
- Relevant tertiary qualifications and an in depth understanding of the Australian regulatory environment including ASX Business Listing Rules, Corporations Law.
- A good understanding of retail distribution through a broker/market participant. Including ASIC Market Integrity Rules.
- Excellent Interpersonal and communication skills are fundamental given the levels of management and broad range of stakeholders across the organisation.
This is an excellent opportunity to utlise your skills in a forward thiknnign and award thikning compnay with a lasreg amount of scope. We encorange learning and develoment oposrtinities and belive in investing in our people