Manager, Security-Based Swap Dealer and Swap Dealer Compliance

About the role

Macquarie's Risk Management Group is hiring a Compliance Professional to support its Chief Compliance Officer of the Swap Dealer (SD) and Security-Based Swap Dealer (SBSD) and the CGM Business Compliance Regulatory Team. The role contributes to developing, implementing and overseeing the firm's compliance program under CFTC, SEC and NFA rules, including Dodd-Frank Title VII, and interfaces with regulators and internal stakeholders.

Key responsibilities

• Advise internal stakeholders, including trading and sales teams, on regulations, policies and procedures
• Assist in internal investigations, remedial actions and regulatory filings
• Respond to regulatory inquiries, audits and examinations and liaise with the SEC, CFTC and NFA
• Participate in the governance of SD and SBSD Associated Persons
• Monitor regulatory developments, conduct assurance testing and develop or improve compliance policies
• Investigate and escalate potential non-compliance issues

Required profile

• Strong knowledge of regulations, policies and procedures, able to guide stakeholders and support trading, operations, risk, legal and sales teams
• Experience in regulatory interactions and governance, including inquiries, audits and examinations
• Experience liaising with regulators such as the SEC, CFTC and NFA, and governing or examining SD and SBSD Associated Persons

What we offer

• Base salary of $119,000-$144,000 per year, with possible discretionary incentive compensation
• Medical, dental, vision, life and disability insurance, 401(k) and paid time off
• Parental leave, volunteer leave and employee assistance program
• Learning and development opportunities and hybrid, flexible working arrangements