Manager | Surveillance Compliance

Macquarie Global Services
life insurance, parental leave, paid time off, sick time, long term disability, 401(k)
United States, New York, New York
125 West 55th Street (Show on map)
Nov 20, 2024
Our Risk Management Group is looking for a talented and experienced professional to be part of its Surveillance Compliance team to assist in developing, enhancing, and conducting surveillance over Macquarie's businesses. This individual will work with the Surveillance Leads to assist in the ongoing support of a comprehensive surveillance program for Macquarie to identify potential market manipulation and misconduct. 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 34 markets and with 55 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? Press space or enter keys to toggle section visibility In this role, you will be responsible for performing trade and electronic communications surveillance and following up on issues over the activity of Macquarie's Institutional Brokerage and Investment Banking businesses. You will also review and assess alerts and identify patterns of potential regulatory and compliance issues, including market manipulation and misconduct, and assist in the design, development, implementation and improvement of surveillance techniques and tactical models. In addition, you will escalate matters of interest and provide comprehensive and accurate metrics to Business Compliance and other relevant stakeholders, ensuring proactive, regular, and frequent communication on such issues. Salary range for this position: $122,000 - $165,000/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 Press space or enter keys to toggle section visibility 5 - 7 years of experience in a business compliance or surveillance function, or within a securities regulator Strong knowledge of rules and regulations and federal securities laws applicable to trading, sales and research, and capital markets Product knowledge from prior experience in the front office or Trade Surveillance across the various asset class types Understanding of compliance issues and risks impacting institutional brokerage and investment banking businesses Familiarity with automated trading and surveillance systems (i.e., ActOne, Smarts, Scila, ACA etc.) Ability to demonstrate a high proficiency in data manipulation and analysis, along with the ability to proactively identify and analyze problems and propose viable solutions. 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 Press space or enter keys to toggle section visibility In our Risk Management Group, you will be part of an independent, and centralised function, responsible for independent and objective review and challenge, oversight, monitoring and reporting in relation to Macquarie's material risks. Our divisions include Compliance, Credit, Financial Crime Risk, Internal Audit, Market Risk, Operational Risk, Prudential Risk, and Risk Management Group Central. Benefits Press space or enter keys to toggle section visibility Macquarie employees can access a wide range of benefits which, depending on eligibility criteria, include: Hybrid and flexible working arrangements One wellbeing leave day per year and minimum 25 days of annual leave Primary caregivers are eligible for 20 weeks paid leave along with 12 days of transition leave upon return to work and 6 weeks paid leave for secondary caregivers Paid volunteer leave and donation matching Range of benefits to support your physical, psychological and financial wellbeing Employee Assistance Program, a robust behavioural health network with counselling and coaching services Recognition and service awards Our commitment to diversity, equity and inclusion Press space or enter keys to toggle section visibility We are committed to providing a working environment that embraces diversity, equity and inclusion. As an inclusive employer, Macquarie does not discriminate on the grounds of age, disability, sex, sexual orientation, gender identity or expression, marriage, civil partnership, pregnancy, maternity, race (including color and ethnic or national origins), religion or belief.