Join our compliance team in an exciting, career growth opportunity at the center of a rapidly growing global asset management firm. This department has primary compliance responsibility for 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 the day-to-day compliance management of investment advisory or our broker-dealer functions. You will develop and maintain a strong working knowledge of the regulatory requirements and ensure any developments are incorporated into procedures/practices, as appropriate. Effective communication and interpersonal skills, as well as the ability and strong desire to work as part of a collaborative team, will be essential when liaising with internal team members to obtain input required for registrations, terminations etc.
You will also assist with general projects that arise from the Compliance oversight activities, participate in other projects of various complexity, as well as assist with reporting and other ad hoc tasks as required.
This position reports to the Senior Compliance Officer and requires 2-5 years of regulatory compliance experience within the Financial Services industry, as well as a bachelor’s degree. Other requirements include FINRA Series 7 and 24 licenses (or willingness and ability to obtain) and strong knowledge of Microsoft Office.
If you have a high attention to detail along with the enthusiasm, motivation and ability to be proactive, apply today.
Macquarie Investment Management is a global asset manager with offices throughout the United States, 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 $US248.6 billion in assets of June 30, 2019. In the US, retail investors recognize our Delaware Funds by Macquarie as one of the longest- standing mutual fund families, with more than 75 years in existence. Macquarie Investment Management is a division of Macquarie Asset Management, a global asset manager with $US387.9 billion in assets under management as of June 30, 2019.
Risk Management Group is an independent, centralized 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.
Find out more about Macquarie at www.macquarie.com/careers
All qualified applicants will receive consideration for employment and will not be discriminated against on the basis of race, color, 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.