Senior Manager, Equity Capital Markets (ECM) Compliance, Hong Kong
Macquarie Group
Hong Kong

Join our dynamic Business Compliance team in Risk Management Group Asia, and play a vital role to advise and support our Macquarie Capital division, with a focus on Equities Capital Market.

Based in Hong Kong and reporting to the Asia Head of Macquarie Capital Business Compliance, you will be the primary point of contact covering Asia’s Advisory, Debt and Equity Capital Markets and Principal Finance compliance matters in Hong Kong, Singapore and other markets in the region.

You will also have the opportunity to work with the Asia Compliance team to address regulatory requirements and changes in Asia, assessing policies and procedures, and be involved in various regional and global projects impacting Macquarie Capital.

As an experienced compliance practitioner (or with equivalent experience in the regulatory, legal or risk management areas), your key responsibilities will include :

  • advising the Regional Head of Compliance and Global Head of Macquarie Capital Compliance on various matters
  • participating in deal review and ensuring that compliance risks arising in business activities are appropriately addressed and managed
  • driving good risk culture and conduct within the business
  • addressing regulatory change across Asia
  • developing and reviewing policies and procedures and where needed, producing and delivering training on Compliance policies and procedures
  • involving in regulatory contact, including reviewing and preparing responses to regulator inquiries and investigations.
  • To succeed in this role, you will possess solid minimum six years of legal or regulatory experience gained within an investment bank, in particular Capital Markets, supported by relevant tertiary qualifications and a deep understanding of Asia’s regulatory environment.

    You will leverage your excellent communication skills in English as well as stakeholder management skills to understand business drivers, and harmonize compliance process with business needs.

    Last but not least, you will be comfortable to work independently, determine priorities and meet deadlines.

    About the Risk Management Group

    The Risk Management Group (RMG) is an independent, centralised unit responsible for ensuring all risk across Macquarie are appropriately assessed and managed.

    Its divisions include Behavioural Risk, Compliance, Credit, Financial Crime Risk, Internal Audit, Market Risk, Operational Risk, Regulatory Affairs and Aggregate Risk, and RMG Enterprise Support.

    Our commitment to Diversity and Inclusion

    The diversity of our people is one of our greatest strengths, and in combination with our inclusive environment, it enables us to deliver innovative and sustainable outcomes for our people, clients, shareholders and communities.

    From day one, you'll be encouraged to be yourself and supported to perform at your best. If our purpose of empowering people to innovate and invest for a better future’ is as inspiring to you as it is to us, please apply.

    With the right technology, support and resources, our people can work in a range of flexible ways.

    We are committed to providing a working environment that embraces and values diversity and inclusion. We encourage candidates to speak with a member of our recruitment team if you require adjustments to our recruitment process to support you, and the type of working arrangements that would help you thrive.

    Hong Kong vacancies

    Macquarie has adopted a vaccination policy and all Hong Kong employees attending the office are required to be vaccinated against COVID-19 or complete weekly testing.


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