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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.
Day-to-day management of assigned functions within the compliance department (e.g. adviser oversight, advertising and marketing materials review, or account investment guidelines or company policy management such as code of ethics)
Lead a team of compliance analysts by setting priorities, assigning and reviewing work
Assist in development of global asset management compliance platform including asset management functions in jurisdictions such as Australia, Europe, Middle East, and Asia, including Hong Kong, Korea and Japan
Evaluate the performance of assigned staff, including formal and informal performance appraisals
Identify and facilitate training and development opportunities for assigned staff
Maintenance of compliance policies and procedures – ensuring that they are complete and accurate and coordinating and participating in the review and testing of relevant compliance policies necessary to conduct required annual reviews
Represent the compliance department across the firm, especially with respect to the areas supervised
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
Minimum of 5-7 years experience in an investment advisory and/or broker-dealer firm, with emphasis on leading regulatory functions, particularly those related to specific areas (e.g. marketing review, advisory compliance programs)
BA/BS degree required
Demonstrated ability to prioritize and manage multiple assignments at once
Ability to work independently and as part of a high-functioning team
Ability to communicate effectively orally and in writing
Experience managing and leading a team of professionals in a broad range of responsibilities
Experience with staff development, including setting employee goals and objectives and evaluating performance
FINRA series 7 and 24 licenses, or willingness and ability to obtain
Proficiency with Microsoft Office applications
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.