CAIA's Career Center is an easy-to-use, comprehensive resource connecting job seekers with employers in the growing AI field. Use your knowledge and credibility to advance your career or build a talented team for your organization. Opportunities targeted to CAIA Charterholders are prioritized.
In order to search for jobs specifically for CAIA Charterholders or those pursuing the CAIA Charter please enter “CAIA” in the search panel.
This will enable you to search for CAIA specific roles globally.
Macquarie Investment Management is a global asset manager with offices throughout the US, Europe, Asia, and Australia. As active managers, we prioritize autonomy and accountability at the team level in pursuit of opportunities that matter for clients. Our conviction-based, long-term approach has led institutional and individual clients to entrust us to manage US$256.9 billion in assets as of Dec. 31, 2016. Macquarie Investment Management is a division of Macquarie Asset Management, a global asset manager with US$362.1 billion in assets under management as of Dec. 31, 2016.
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 has an exciting compliance career growth opportunity at the center of a rapidly growing global asset management firm. The Compliance department has primary compliance responsibility for all of the firm's investment advisory and distribution activities. This includes oversight of the annual reviews and testing of controls and procedures as required by Rules 38a-1 and 206(4)-7 as well as FINRA Rule 3120.
Assigned areas of responsibility may be related to investment advisory or broker-dealer functions compliance. This position reports to the Senior Compliance Officer.
Day-to-day management of assigned functions within the Compliance department
Develop and maintain a strong working knowledge of the regulatory requirements and ensure any developments/changes are incorporated into procedures/practices as appropriate
Liaise with the business Legal and Compliance team members to obtain input required for Registrations/Terminations etc.
Assisting with general compliance projects that arise from the RMG Compliance oversight activities
Assist with the maintenance of compliance policies and procedures
General compliance reporting and ad hoc compliance tasks as required
Assist in other compliance tasks as required to ensure team objectives are achieved, even if outside the usual scope of responsibility
Coordinate and participate in projects of various complexity, including managing teams of assigned staff on routine and ad hoc projects
Other duties and tasks as assigned
Skills and Attributes
2-5 years of regulatory compliance experience within the Financial Services industry
BA/BS degree required
The ability to be effective in self-management of workload and time
Ability and strong desire to work as part of an effective and collaborative team
Attention to detail
Sound interpersonal skills and relationship building abilities
Effective communication skills, including very strong written communication skills
Enthusiasm, motivation and the ability to be proactive
Strong MS Suite skills – Excel, Word, Outlook in particular
FINRA Series 7 and 24 licenses, or willingness and ability to obtain
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 individuals who are minorities, women, protected veterans, and individuals with disabilities.