RMG Regional Compliance Surveillance Manager
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.
Macquarie has an outstanding reputation and regulatory history as well as excellent relationships with all our key regulatory bodies.
Due to ongoing growth of our business a Surveillance Manager is required in each region (ANZ, Americas, Asia and EMEA) who will be responsible for working with the global head of monitoring surveillance to establish local surveillance teams to monitor:
- Potential market manipulation and misconduct;
- Potential insider trading and other Control Room related issues (working with the Control Room);
- Employee trading;
- Potential money laundering (working with the AML team); and
- Misuse of electronic communications
You will be responsible for:
· Building and managing the regional Compliance surveillance function, including:
- Documenting local regulatory surveillance requirements and expectations;
- Developing and maintaining the regional surveillance infrastructure;
- Undertaking surveillance; and
- Recruiting staff resources to perform additional surveillance.
· Providing leadership and day to day management to the regional surveillance team;
- Engaging with local Compliance staff to help facilitate a coordinated approach to surveillance across the region;
- Working with regional counterparts and the Global Head of MS to implement the surveillance strategy and to determine the extent of enhancements necessary; and
- Developing comprehensive and accurate metrics for distribution to Compliance and business management.
To be successful you will:
- Have extensive experience in building and maintaining surveillance programmes within the banking and financial services industry;
- Have extensive experience in implementing and using industry leading surveillance applications, including SMARTS Broker or similar, for surveillance within the banking and financial services industry;
- Be experienced in building and maintaining an electronic communications surveillance environment;
- Be experienced in managing a surveillance department within the banking and financial services industry;
- Demonstrate a strong understanding of the role of Compliance within the banking and financial services industry;
- 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 analyse problems, and propose viable solutions;
- Have good organisation skills with the ability to work towards and meet deadlines; and
- Demonstrate tenacity and flexibility, with experience of managing and prioritising a number of activities simultaneously.
Macquarie is an equal opportunities employer.
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