Senior Compliance Manager - Macquarie Equities Limited


Bring your experience in Compliance to a 2nd Line business aligned function providing independent advice to Macquarie Equities Limited in relation to its Financial Services Licence and status as a Market Participant.

The role will see you providing day-to-day compliance advice to Macquarie Equities Limited, in relation to both its AFSL, Market Participant and internal policy obligations. You will drive, co-ordinate and participate in projects impacting the group whether complex, routine or ad hoc, whilst providing compliance representation on markets related working groups and other forums for the purpose of enhancing the Wealth Management businesses, including Private Bank Licensee Standards, frameworks and policies.

You will also have responsibility for managing the relationship with ASIC and the ASX and engage with ASIC surrounding breach reporting, notices, regulatory onsite visits, external regulator meetings, market/trading issues, surveillance and ad hoc queries.  You will also engage with ASX surrounding settlement and clearing issues, capital liquidity, consultation papers, and reportable breaches. You will take the lead on the collation and preparation of regulatory responses by assessing incidents raised and whether breaches constitute breach of internal policy, regulation or legislation and assess the significance and possible self-reporting obligations to ASIC and ASX.

You will also be the Risk Management Group representative on the Deal Assessment Committee which has a mandate of assessing capital raisings including company floats and placements for our Equities Limited clients, with a particular focus on managing actual, potential or perceived conflicts of interest. 

You will assist in development of testing across key compliance obligations and be proactive in the identification of control weaknesses and development of process improvements, including collaboration with key risk and control owners both in the Markets space and more broadly in the Wealth Management businesses. Whilst maintaining, monitoring and implementing of compliance plans, including advising Macquarie Equities Limited Responsible Executives in relation to ongoing obligations.

You’ll bring experience with, and knowledge of Compliance ideally gained within the financial services sector. You will also be able to demonstrate strong stakeholder management with the ability to influence and negotiate when required, and prior experience in dealing with the regulators would be advantageous. A strong understanding of capital markets transactions, market participant obligations and market integrity / settlement & clearing rules is also required.

If this sounds like the opportunity for you to further your career, please contact Thomas Rogers at Thomas.rogers@macquarie.com / +61 2 8232 3233 for more information and to apply.

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.

Macquarie understands the importance of diversity and inclusion - our long history of success has come from being different. At Macquarie we value the innovation and creativity that diversity of thought brings. The one thing we all have in common is our focus on high performance. If you're capable, motivated and can deliver, we want you on our team.

We facilitate a range of flexible working arrangements within our teams. Talk to us about what flexibility may be available.

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