Compliance Control Room
Macquarie Group
Hong Kong
3d ago

An exciting opportunity to join the Compliance Control Room for the Asia region (including Japan excluding ANZ) has become available.

You will be joining a team that manages the firm’s information barriers, transaction life cycle and position reporting, in addition to research compliance advisory.

Compliance Control Room is a part of Risk Management Group of Macquarie. The role requires regular interaction with stakeholders in front office as well as within Compliance and the wider Risk Management team.

You will be joining a dynamic global team located across five offices- Sydney, Hong Kong, London, New York and Jacksonville.

You will be excited to learn the responsibilities of a global bank’s control room. Your responsibilities will include monitoring transactional and non-transactional material non-public information, conducting wall crossings, managing restrictions on sales communication, research and trading activities, reviewing research materials for compliance with applicable regulations and internal policies, and helping with IPO pre-deal reports.

You will also help with monitoring the firm’s daily relevant interests in listed companies and preparing and filing position reports, including substantial shareholding reports and short position reports, across the region when required.

In addition to the aforementioned areas, the role will also have exposure to research compliance focusing on equity research specific rules and requirements.

We are looking for candidates with 1-2 years’ industry experience with energy and enthusiasm to learn and grow. Attention to details, effective verbal and written communication skills, ability to multi-task and complete time sensitive tasks, and maturity to handle confidential information and escalate issues are essential to this role.

You will ideally have some industry experience with a good understanding of key rules and regulations around conflicts of interest, investment banking and equity research across Asian jurisdictions, but candidates with financial services experience who are motivated and passionate about learning and growing in the compliance field are welcome too.

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, Equity and Inclusion

The diversity of our people is one of our greatest strengths. An inclusive and equitable environment 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, equity 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.

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