• Macquarie Group Limited
  • $163,905.00 -163,905.00/year*
  • Spring Valley , NY
  • Financial Services - Banking/Investment/Finance
  • Full-Time
  • 124 Maple Ave

Seize this great new opportunity to work in an exciting and dynamic environment where your contribution is recognized from day one. Key to our success is the entrepreneurialism we encourage in all our people, and we give you the opportunity to progress your career as quickly as your ability demonstrates.. As a Compliance Manager, you will be part of the compliance team within the Commodities and Global Markets Group in the Americas. The business produces and distributes research and offers full service trade execution to institutional clients globally. In this role, you will report to the Head of Equities Compliance and perform monitoring and reviews of sales and trading activities to ensure compliance with applicable rules and firm policies.. Your 5+ years of demonstrated experience in broker-dealer compliance or with a securities regulator, and familiarity with US rules and regulations applicable to equities trading, sales and research will enable you to draft and maintain compliance policies and procedures and written supervisory procedures. Utilizing your strong communication skills, you will liaise with various levels of stakeholders and advise the business and related support functions with their regulatory requirements. You will assist with the drafting of responses to regulatory inquiries and regulatory examinations and stay current on new rules and regulations. This role will also empower you to collaborate with other Risk Management functions and global counterparts on compliance projects and initiatives.. Experience in equity trade surveillance, familiarity with OATS trade compliance and other US Trade and regulatory reporting requirements (e.g. ACT/TRF, Rule 606/605 Reporting, Bluesheets, CAT NMS etc.) are highly desirable. You should have knowledge of key rules and regulations, such as Market Access, Market Manipulation, REG SHO and REG NMS. Having the ability to exercise discretion and work independently are imperative for this role, as are determining priorities and meeting deadlines. Series 7 or equivalent, and Series 24 would be a plus.. If you are looking for a new and exciting challenge, apply today.. Find out more about Macquarie at www.macquarie.com/careers. Risk Management Group is an independent, centralised unit responsible for ensuring all risk across Macquarie are appropriately assessed and managed. Its divisions include Credit, Prudential, Capital and Markets, Market Risk, Operational Risk, Compliance, Quantitative Applications and Internal Audit.. The core to Macquarie's success is a unique philosophy and management approach. Our businesses combine entrepreneurial drive and robust risk management with deep industry and regional expertise.. All qualified applicants will receive consideration for employment and will not be discriminated against on the basis of race, colour, religion, sex, sexual orientation, national origin, age, disability, protected veteran status, genetic information, marital status, gender identity or any other impermissible criterion or circumstance. Macquarie also takes affirmative action in support of its policy to hire and advance in employment of individuals who are minorities, women, protected veterans, and individuals with disabilities.. Glassdoor has millions of jobs plus salary information, company reviews, and interview questions from people on the inside making it easy to find a job that's right for you.
Associated topics: bond, broker dealer, buy, capital, fiduciary, fund, nasdaq, risk, security, s p

* The salary listed in the header is an estimate based on salary data for similar jobs in the same area. Salary or compensation data found in the job description is accurate.

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