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Equities Compliance Manager

New York

Seize this great new opportunity to work in an exciting and dynamic environment where your contribution is recognized from day one. Key to our success is the entrepreneurialism we encourage in all our people, and we give you the opportunity to progress your career as quickly as your ability demonstrates.

The Risk Management Group (RMG) is looking for an experienced securities compliance professional to join its Commodities and Global Markets (CGM) Business Compliance Team in the Americas. As a Compliance Manager, you will support and provide advisory and support to the CGM Cash Equities business and perform all other related compliance and risk management functions for a US registered broker-dealer offering equity research, sales and execution services. This position reports to the Head of Equities for the Northern Hemisphere Compliance.

Your 5-10 years of demonstrated experience in broker-dealer compliance or with a securities regulator, and strong knowledge of FINRA rules and federal securities laws applicable to equities trading, sales and research will enable you to draft and maintain compliance policies and procedures and written supervisory procedures. Utilizing your strong interpersonal and verbal communication skills, you will interact effectively with various levels of stakeholders and provide advice and support the business and related stakeholders with their regulatory requirements.

You will act as a subject matter expert on matters related to transaction and regulatory reporting obligations, including OATS, Bluesheet, Rule 605/606 and CAT NMS. You will also advise front office and support functions, participate in internal governance groups, workstreams and industry working groups focused on implementing CAT NMS.

This is an opportunity to be the primary point of contact and subject matter expert for business stakeholders and other Business Compliance colleagues globally on compliance related matters such as Rule 15a-6. You will develop and administer training on relevant regulatory matters and firm policies and procedures. Leveraging your outstanding analytical skills, you will conduct ongoing monitoring and reviews, assist in SRO examination and draft responses to regulatory inquiries. This role will also empower you to collaborate with other Risk Management functions and global counterparts on compliance projects and initiatives.

Strong knowledge of the rules and regulation impacting equity products, OATS, CAT NMS and other US Trade and regulatory reporting requirements (e.g. ACT/TRF, Rule 606/605 Reporting, Bluesheets) is necessary in this role. Additionally, we seek a candidate with knowledge of key rules and regulations such as Market Access, Market Manipulation, REG SHO and REG NMS. Having the ability to work well under pressure, exercise discretion, and work independently with good judgment are all imperative for this role, as are determining priorities and meeting deadlines. Series 7 or equivalent, and Series 24 would be a plus.

If you are looking for a new and exciting challenge, apply today.

Find out more about Macquarie at

About the Risk Management Group

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.

Our commitment to Diversity and Inclusion 

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 of individuals who are minorities, women, protected veterans, and individuals with disabilities.

We recognize that flexibility comes in a variety of forms. Talk to us about what flexibility you need.


About Macquarie

The best investment you can make is in yourself.

Whether you’re looking to take on a new project; progress within your division; explore an opportunity in a different team; or relocate globally – we let our people decide which direction they want to take.

At Macquarie we uncover the opportunities others may miss. Our culture promotes innovation, balanced with robust risk management, to realise opportunity for our clients, community, shareholders and our people.

Macquarie is a diversified global financial group providing clients with asset management, banking, advisory and risk and capital solutions across debt, equity and commodities. Headquartered in Sydney and with offices in 31 markets, it is the breadth of our operations, combined with a strong capital position and risk management framework, that has contributed to our 51-year record of unbroken profitability.

Find out more at

Job no: RMG-953328
Work type: Full time
Location: New York
Category: Mid-level, Compliance, Legal & Regulatory, Equities, Risk Management
Group: Risk Management Group
Division: Compliance
Recruiter: Tammy Lee
Opening Date: