RMG Operations and Finance Compliance Director
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 Risk Management Group (RMG) is an independent, centralized 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.
You will be responsible for:
· Delivering the Compliance mission to Operations and Finance, i.e., "Business Aligned Compliance" for the Financial Management Group and Market Operations Division
· Advice including interpretations of applicable laws and regulations, assessment of compliance risks and controls, drafting business-specific policies and procedures, day to day inquiries, relevant new product approvals
· Assistance with development of supervisory procedures, as applicable
· Training, including coordination with Central Compliance
· Monitoring, as relevant (including back end testing)
· Assisting with implementation of applicable regulatory changes
· Lead responses to regulatory inquiries and examinations, e.g., FINOP exam, FMG and MOD roles in other exams including Federal Reserve
· Working alongside Operational Risk, Internal Audit and other control functions to identify and mitigate applicable risks
· Not limited to broker-dealer compliance, but includes all regulated entities and activities
· Not limited to SEC and FINRA, but also includes FMG and MOD involvement in Dodd Frank compliance under CFTC and NFA rules, "back office" support for rep office under Federal Reserve
To be successful you will:
- Demonstrate a strong understanding of the role of Compliance within the banking and financial services industry, ideally within the Operations and/or Finance functions;
- Possess strong communication skills, both written and verbal;
- Have the ability to develop relationships across various stakeholders, including local and regional advisory Compliance staff, Technology and the business;
- Be self directed, with the ability to proactively identify and analyze problems, and propose viable solutions;
- Have good organization skills with the ability to work towards and meet deadlines; and
- Demonstrate tenacity and flexibility, with experience of managing and prioritizing a number of activities simultaneously.
- Series 7, 24 or 99 examinations are beneficial but not required
Macquarie is an equal opportunities employer.
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