An exciting opportunity to support the Head of Compliance Control Room for the Asia region (including Japan excluding ANZ) has become available. You will be a fresh graduate or professional with up to 4 years of experience in a related field. You will be joining a team that manages the firm's information barriers, conflicts of interest, transaction management and position reporting in addition to research compliance advisory.
Compliance Control Room is a part of Risk Management Group of Macquarie. The role requires regular interaction with stakeholders in front office as well as within Compliance and the wider Risk Management team you will be joining a dynamic global team located across four offices- Sydney, Hong Kong, London and New York.
You will be excited to learn the responsibilities of how a leading global provider of financial services control room operates. Your responsibilities will include monitoring transactional and non-transactional material non-public information, conducting wall crossings, managing restrictions on sales communication, research and trading activities, reviewing research materials for compliance with applicable regulations and internal policies, and helping with IPO pre-deal reports.
You will also help with monitoring the firm's daily relevant interests in listed companies and preparing and filing position reports, including substantial shareholding reports and short position reports, across the region when required. In addition to the aforementioned areas, the role will also have exposure to research compliance focusing on equity research specific rules and requirements.
We are looking for candidates with up to 4 years' industry experience with energy and enthusiasm to learn and grow. Attention to detail, effective verbal and written communication skills, ability to multi-task and complete time sensitive tasks, and maturity to handle confidential information and escalate issues are essential to this role. You will ideally have some industry experience with a good understanding of key rules and regulations around conflicts of interest, investment banking and research across Asian jurisdictions, but fresh graduates who are motivated and passionate about learning and growing in the compliance field are welcome too.
About the Risk Management Group
The Risk Management Group (RMG) is an independent, centralised unit responsible for ensuring all risk across Macquarie are appropriately assessed and managed. Its divisions include Behavioural Risk, Compliance, Credit, Financial Crime Risk, Internal Audit, Market Risk, Operational Risk, Regulatory Affairs and Aggregate Risk, and RMG Enterprise Support.
Our commitment to Diversity and Inclusion
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.
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