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Manager, Compliance
Manager, Compliance – Fixed Income, Currencies and Commodities, Risk Management GroupEnergy Markets, Energy Capital Upstream Electricity DerivativesAbout the roleensuring compliance by FICC’s Australian staff with internal and external policies assisting with all general queries from the business, other compliance departments and support areas (Market Operations, Credit, Audit) reviewing marketing material to ensure compliance with relevant regulatory requirements monitoring and surveillance activities liaising with Macquarie’s groupwide Compliance function (internal reviews, ad hoc queries) Read more […]
Senior Compliance Manager, Macquarie Securities Group, Risk Management Group
Senior Compliance Manager Macquarie Securities Group (MSG) within the Risk Management Group (RMG) 1 Martin Place officeAs a Senior Compliance Manager, you will consult with and advise key stakeholders within the Macquarie Securities Group (MSG) to ensure Macquarie continues to meet the obligations of its regulatory and compliance framework. An experienced compliance practitioner, your ability to engage, consult with and influence senior stakeholders will be critical to your success.About the role:providing advice to the business on compliance implications arising from business changes (e.g. New Read more […]
Director of Compliance, Wealth Management*
Strong prudential management has been a key to Macquarie’s success over many years. The Risk Management Group is an independent, centralised unit responsible for assessing and monitoring risks across the Macquarie Group. The Compliance Division within Macquarie’s Risk Management Group provides compliance support and advice to Macquarie’s operating businesses. Compliance staff are aligned with Macquarie’s operating businesses, assisting those businesses globally to manage their compliance risks. These, together with a strong, committed team are key drivers of Macquarie’s success.Banking and Financial Read more […]
Compliance Analyst, Wealth Management
Strong prudential management has been a key to Macquarie’s success over many years. The Risk Management Group is an independent, centralised unit responsible for assessing and monitoring risks across the Macquarie Group. The Compliance Division within Macquarie’s Risk Management Group provides compliance support and advice to Macquarie’s operating businesses. Compliance staff are aligned with Macquarie’s operating businesses, assisting those businesses globally to manage their compliance risks. These, together with a strong, committed team are key drivers of Macquarie’s success.Banking and Financial Read more […]
Compliance Manager, Wealth Management
Strong prudential management has been a key to Macquarie’s success over many years. The Risk Management Group is an independent, centralised unit responsible for assessing and monitoring risks across the Macquarie Group. The Compliance Division within Macquarie’s Risk Management Group provides compliance support and advice to Macquarie’s operating businesses. Compliance staff are aligned with Macquarie’s operating businesses, assisting those businesses globally to manage their compliance risks. These, together with a strong, committed team are key drivers of Macquarie’s success.Banking and Financial Read more […]
Compliance Analyst*
Macquarie Private Wealth (MPW), a division of BFS, is the primary relationship manager for Macquarie’s retail clients in Australia and New Zealand. Services include full-service stockbroking, on-line broking, financial planning, private banking, private portfolio management and investment planning. About the roleAs a Compliance Analyst, Wealth Management, your primary responsibility will be to assess Macquarie Private Wealth Advisor’s practices for adherence to FOFA (Future of Financial Advice), Corporations Act and other licensing obligations under AFSL. You will then identify remedial actions Read more […]
Trade Compliance Analyst
Trade Compliance AnalystDEPARTMENT: Trade CompliancePOSITION DESCRIPTION: The Trade Compliance group is responsible for completing post trade analysis of all Newport Beach trades to ensure compliance of those trades with the respective client’s guidelines. This is a fast paced environment as all trade must be confirmed by end of the business day using the firm’s proprietary software. In order to resolve issues, the Compliance Analyst must be able to manipulate and analyze data from holdings and securities databases and where required, work with the appropriate Portfolio Manager, Account Manager Read more […]
Senior Energy Compliance Specialist / Energy Compliance Manager, Energy Trading, London
The successful candidate will report into the Global Head of Control and Compliance. The primary responsibility will be to help set the direction of the compliance program and ensure it is correctly implemented across the Group. This individual will be expected to remain abreast of market rules and regulations; ensuring internal procedures and policies are kept updated.This role will require broad stakeholder management skills. The incumbent will be expected to work closely with the business; support functions; and regulatory bodies in a collaborative fashion. Excellent communication skills will Read more […]
Senior Marketing Compliance Analyst
PURPOSE OF JOB Reviews, analyzes and approves communications to ensure compliance with regulatory requirements, internal guidelines, and other risk related issues. Guides and facilitates cross-functional teams in the strategy development and implementation of compliance solutions. Independently performs complex work assignments and problem resolution within a CoSA and enterprise-wide projects. JOB DUTIES· Applies Identifies compliance opportunities and potential solutions. Synthesizes analyses, identifies root cause(s), and provides recommendations that influence business solutions. Read more […]
Derivatives Compliance Director
Role: Derivatives Compliance Director Company: Tier 1 Investment Bank Salary: Upto £120,000 Location: City of London Role: A position has arisen for an experienced Compliance Officer to work within the EMEA Equities Compliance team. The role, which will be based in a trading environment, involves the provision of advisory, education and monitoring services to European Equities, which spans cash sales and trading, exchange traded derivatives, prime brokerage, equity derivatives and structured products. This is a fantastic opportunity with one of the worlds leading investment banks; it will Read more […]