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(more about Macquarie)
Trade Surveillance Compliance Manager
Macquarie Group (Macquarie) is a global provider of banking, financial, advisory, investment and funds management services. Macquarie's main business focus is making returns by providing a diversified range of services to clients. Founded in 1969, Macquarie employs more than 18,000 people in 38 countries.
At Macquarie we offer you the experience and freedom to grow your career whilst making your mark within a highly successful organization. Key to our success is the entrepreneurialism we encourage in all our people. We give you the opportunity to progress your career as quickly as you can demonstrate your ability.
The Risk Management Group is looking for a talented and experienced professional to be part of its Surveillance Compliance team to assist in developing, enhancing, and conducting surveillance over Macquarie’s businesses.
You will work with the Surveillance Leads to assist in the ongoing support of a comprehensive surveillance program for Macquarie to identify potential market manipulation and misconduct.
You will be responsible for:
- Performing surveillance and following up on issues over the trading activity including but not limited to the Institutional Brokerage, Research, Sales and Trading, Electronic and Algorithm Trading desks, and Investment Banking activity
- Reviewing and assessing alerts and identifying patterns of potential regulatory and compliance issues, including market manipulation and misconduct
- Maintaining adequate documentation of alerts and their resolution
- Escalating matters of interest to Business Compliance and other relevant stakeholders, ensuring proactive, regular, and frequent communication on such issues
- Liaising with Business Compliance, Operational Risk, Human Resources and Legal to resolve potential regulatory and reputational risks
- Helping with the design and improvement of surveillance techniques and extending coverage to areas as necessary
- Assisting in the design, development, and implementation of manual tactical surveillance models
- Assisting with the UAT of new systems/models as appropriate
- Developing comprehensive and accurate metrics for distribution to Business Compliance and business management
- Assisting with the drafting and updating related policies and procedures
- Assisting with regulatory requests and investigations
- Conducting trade reconstruction efforts, and performing team quality assurance controls
- Maintaining awareness of key regulatory updates and analyzing their impact on the surveillance monitoring program
As the ideal candidate, you will preferably have at least 5-7 years of relevant experience a with a broker-dealer/financial institution in a business compliance, surveillance capacity or with a securities regulator. Strong knowledge of rules and regulations and federal securities laws applicable to trading, sales and research, and capital markets. Your product knowledge from prior experience in the front office or Trade Surveillance across the following asset class types: Equities; Fixed Income, Derivatives. Your understanding of compliance issues and risks impacting institutional brokerage and investment banking businesses is preferred. You should be familiar with automated trading and surveillance systems (i.e., ActOne, Smarts, Scila, ACA etc.). In addition, you should be able to demonstrate a high proficiency in data manipulation and analysis, along with the ability to proactively identify and analyze problems and propose viable solutions.
We seek solutions driven individuals that have an analytical and investigative mindset. Attention to detail, proficiency in Excel, strong written and oral communication skills, the ability to meet deadlines while maintaining a high degree of accuracy and quality, the ability to exercise discretion, work independently and determine priorities are essential to be successful in this role.
This is a great opportunity to help make an impact in an entrepreneurial and team driven environment. If you are ready to explore this exciting new opportunity further, apply today.
Find out more about Macquarie careers at https://www.macquarie.com/us/en/careers.html
About the Risk Management Group
In our Risk Management Group, you will be part of an independent, and centralised function, responsible for independent and objective review and challenge, oversight, monitoring and reporting in relation to Macquarie’s material risks. Our divisions include behavioural risk, compliance, credit, financial crime risk, internal audit, market risk, operational risk and governance, prudential risk, and Risk Management Group central.
Salary Range
Salary range for this position: $115,000 - $155,000/Yr. Actual base salary may vary based upon, but not limited to, relevant experience, time in role, peer and market data, prior performance, business sector, and geographic location. You may also be eligible for an annual discretionary incentive compensation award. We offer a full spectrum of benefits, including Medical, Prescription Drug, Dental, Vision, Health Savings Account, Dependent Day Care Savings Account, Life Insurance, Disability and Other Insurance Plans, Paid Time Off (including Sick Leave, Parental Leave and Vacation), Holidays, 401(k), and Short/Long Term Disability, in addition to other special perks reserved for our employees.
Our commitment to Diversity, Equity and Inclusion
We are committed to providing a working environment that embraces diversity, equity and inclusion. As an inclusive employer, Macquarie does not discriminate on the grounds of age, disability, sex, sexual orientation, gender identity or expression, marriage, civil partnership, pregnancy, maternity, race (including color and ethnic or national origins), religion or belief.
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