SBSD/SD Compliance Leader — Regulatory & Governance

Macquarie Group; New York (NY); On-site; USD 119,000 - 144,000; Full time

Benefits offered by this job

Wellbeing leave day

Parental leave

Volunteer leave

Medical insurance

Health Savings Account

Life Insurance

401(k)

Learning & development

Hybrid work

Home office equipment

Job summary

Macquarie Group in New York seeks a Manager, Security-Based Swap Dealer and Swap Dealer Compliance to support the Chief Compliance Officer and the CGM Business Compliance Regulatory Team. You will help develop, implement, and oversee the firm’s compliance program with CFTC, SEC, and NFA rules, leveraging your experience in derivatives regulation.

The role emphasizes regulatory interface, investigations, remediation, and filings, with opportunities to shape compliance practices and interact with

Qualifications

• Strong knowledge of regulations, internal policies, and procedures.
• Experience in regulatory interactions and governance including inquiries, audits, and examinations.
• Experience liaising with regulators such as the SEC, CFTC, and NFA.

Responsibilities

• Provide advice on regulations, internal policies, and procedures to internal stakeholders.
• Assist in internal investigations, remedial actions, and regulatory filings.
• Respond to regulatory inquiries, audits, and examinations.
• Liaise with regulators such as the SEC, CFTC, and NFA; participate in governance of SD and SBSD Associated Persons.
• Monitor regulatory developments, conduct assurance testing, develop or enhance compliance policies, and coordinate with internal stakeholders.
• Investigate and escalate potential non-compliance issues.

Skills

Regulatory knowledge

Internal policies

Internal investigations

Job description

Macquarie Group in New York seeks a Manager, Security-Based Swap Dealer and Swap Dealer Compliance to support the Chief Compliance Officer and the CGM Business Compliance Regulatory Team. You will help develop, implement, and oversee the firm’s compliance program with CFTC, SEC, and NFA rules, leveraging your experience in derivatives regulation.

The role emphasizes regulatory interface, investigations, remediation, and filings, with opportunities to shape compliance practices and interact with