Americas
Job Categories
Levels

Associate, Compliance

Philadelphia

Grow your career within our Macquarie Asset Management business as a Compliance Associate. In this role you will manage the development and implementation of compliance policies, the review of sales literature, as well as aiding with compliance examinations, surveillance, and training. 

Your key responsibilities will include completing timely reviews and processing of broker/dealer and investment adviser advertising and marketing materials, including firm websites, to ensure compliance with applicable rules and regulations.  You will utilize technology to ensure an efficient marketing material review process and assist with the development and implementation of policies and procedures regarding marketing review activities along with willingness to learn and perform special projects and other duties as assigned.

An undergraduate degree and relevant work experience with an investment advisor or broker-dealer, or comparable compliance, audit or legal experience are preferred for this role. In addition, you’ll need the bring the ability to work independently as part of a high-functioning, collaborative team of compliance professionals. Working knowledge of the Federal securities rules and regulations, including the Investment Company Act, Investment Advisers Act and FINRA rules is an important component of the role.  You will be involved in the firm’s compliance program under Rules 38a-1 and 206(4)-7. 

A service focus with demonstrable success in understanding and communicating and building relationships effectively across business project teams, investment professionals, counsel, and team members about technical and complex compliance standards and policies is important for success in the role. 

In addition, you will need to have:

  • BA/BS Degree with 1-3 years of relevant experience with an investment advisor or broker/dealer
  • FINRA Series 7 and 24 required (or willing to obtain upon joining)

About Macquarie Asset Management

In Macquarie Asset Management you will join a global asset manager that aims to deliver positive impact for everyone. Trusted by institutions, pension funds, governments, and individuals to manage more than A$773/€523/£440/$US578 billion in assets globally, we provide access to specialist investment expertise across a range of capabilities including fixed income, equities, multi-asset solutions, private credit, infrastructure, green investments, natural assets, real estate, and asset finance.

All figures as at 31 March 2022.

Our commitment to Diversity, Equity and Inclusion 

The diversity of our people is one of our greatest strengths. An inclusive and equitable workplace enables us to embrace that diversity to deliver more innovative and sustainable solutions for our people, clients, shareholders and communities. At Macquarie, you'll be encouraged to be yourself and supported to perform at your best. If you're inspired to deliver on our purpose of ‘empowering people to innovate and invest for a better future’, we want you on our team. If you need adjustments made to the recruitment process, please reach out to your recruiter.

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 equip our people with the support to work in a range of flexible ways. Talk to us about what working arrangements would help you thrive.

 

#LI-hybrid

About Macquarie

A career at Macquarie means you’ll have the opportunity to develop and utilise new skills, explore interesting fields and do challenging work that will impact the lives of people around the world—whether it’s accelerating the green energy transition, helping sustain global food supplies, financing social housing projects or investing in essential infrastructure. At Macquarie, we’re empowering people to innovate and invest for a better future.

Our size and international presence means your work can take you anywhere—across business groups, disciplines, sectors and borders. With 18,000+ employees and offices in 33 markets around the world, we’re a truly global organisation.

You’ll be supported by a diverse team where the unique perspectives, ideas and experiences that all of our people bring are valued. You’ll be empowered to address unmet needs in our communities whilst advising and investing alongside our clients and partners. Working with us, you’ll have the opportunity to make a difference.

Macquarie is a global financial group providing clients with asset management, retail and business banking, wealth management, leasing and asset financing, market access, commodity trading, renewables development, specialist advisory, capital raising and principal investment.

Find out more at www.macquarie.com/careers

Job no: MAM-970975
Work type: Permanent - Full time
Location: Philadelphia
Category: Mid-level, Junior, Compliance, Legal & Regulatory
Group: Macquarie Asset Management
Division: Public Investments
Recruiter: Christina Carnevale
Opening Date: