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Join Macquarie's Risk Management Group as a Compliance Professional to support the Chief Compliance Officer of our Swap Dealer and Security-Based Swap Dealer. 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.

While Macquarie offers hybrid working for many of our roles, this role does require four days a week in our New York office. 

At Macquarie, our advantage is bringing together diverse people and empowering them to shape all kinds of possibilities. We are a global financial services group operating in 31 markets and with 56 years of unbroken profitability. You’ll be part of a friendly and supportive team where everyone - no matter what role - contributes ideas and drives outcomes.

What role will you play?

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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 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 Swap Dealer and SBSD Associated Persons. Additionally, you will monitor regulatory developments, 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.

The compensation range for this opportunity is a base salary of $101,000 - $130,000/Year. 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.

What you offer

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• Strong knowledge of regulations, internal policies, and procedures with the ability to provide guidance to stakeholders, assist in internal investigations, and support trading and sales teams in compliance-related matters
• Experience in regulatory interactions and governance including responding to inquiries, audits, and examinations
• Experience liaising with regulators such as the SEC, CFTC, and NFA, and participating in the governance of Swap Dealer and SBSD Associated Persons.

We love hearing from anyone inspired to build a better future with us, if you're excited about the role or working at Macquarie we encourage you to apply.

About the Risk Management Group

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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, internal audit, market risk, operational risk, aggregate risk and prudential, and central.

Our commitment to diversity, equity and inclusion

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We are committed to providing a working environment that embraces diversity, equity and inclusion. As an inclusive employer, Macquarie provides equal opportunities to all individuals regardless of race, color, religion, sex, sexual orientation, national origin, age, disability, protected veteran status, genetic information, marital status, gender identity or any other impermissible criterion or circumstance.

Our aim is to provide reasonable accommodations to individuals who may need support during the recruitment process and through working arrangements. If you require additional assistance, please let us know during the application process.