Manager, Security-Based Swap Dealer and Swap Dealer Compliance

Join Macquarie’s Risk Management Group (“RMG”) as a Compliance Professional to support the Chief Compliance Officer of our Swap Dealer (“SD”) and Security-Based Swap Dealer (“SBSD”) and the CGM Business Compliance Regulatory Team. You will contribute to the development, implementation, and oversight of the firm’s compliance program, ensuring adherence to CFTC, SEC, and NFA regulations, including Dodd-Frank Title VII requirements, while leveraging your expertise in derivatives regulation and experience in managing compliance programs to interface effectively with regulators and internal stakeholders.

We are a global financial services group operating in 30 markets with 57 years of unbroken profitability. At Macquarie, you’re empowered to shape a career that is fulfilling and creates value. You will bring your insights and expertise to the task at hand and feel supported as you make your own kind of impact for a better future.

In this role, you will provide advice on relevant regulations, internal policies, and procedures to internal stakeholders, including trading and sales teams, while assisting in, among other things, internal investigations, remedial actions, and the preparation of regulatory filings. You will also respond to regulatory inquiries, audits, and examinations, liaising with regulators such as the SEC, CFTC, and NFA, and participate in the governance of SD and SBSD Associated Persons. Additionally, you will monitor regulatory developments, conduct assurance testing, develop or enhance compliance policies, and coordinate with internal stakeholders to ensure adherence to regulatory requirements and internal policies, while investigating and escalating potential non-compliance issues.

• 1 wellbeing leave day per year and a minimum of 25 days of annual leave
• 20 weeks’ paid parental leave for primary caregivers along with 12 days of paid transition leave upon return to work and 6 weeks’ paid leave for secondary caregivers
• 2 days of paid volunteer leave and donation matching
• Benefits and initiatives to support your physical, mental and financial wellbeing such as medical, prescription drug, dental, and vision insurance; health savings account and dependent day care savings account; life insurance, disability, and other insurance plans; 401(k) and short/long term disability
• Access to our Employee Assistance Program, a robust behavioural health network with counselling and coaching services
• Access to a wide range of learning and development opportunities, including reimbursement for professional membership or subscription
• Recognition and service awards
• Hybrid and flexible working arrangements, dependent on role
• Reimbursement for work from home equipment

Our Risk Management Group works as an independent, and centralised function, responsible for independent and objective review and challenge, oversight, monitoring and reporting in relation to Macquarie’s material risks. We are a global team that aims to manage the risks of today and anticipate the risks of tomorrow. Our divisions include compliance, credit, financial crime risk, market risk, operational risk, aggregate risk and prudential, and central.