Senior Vice President, Investment Banking Compliance (Americas) - Risk Management Group - New York

  • Competitive
  • New York, NY, USA
  • Permanent, Full time
  • Macquarie
  • 28 Sep 16

Senior Vice President, Investment Banking Compliance (Americas) - Risk Management Group - New York

Macquarie is a global provider of banking, financial, advisory, investment and funds management services, with offices in 28 countries. We are a uniquely diverse business with deep specialist expertise. We work with top-tier firms, small businesses and emerging leaders, governments and community organisations.

Risk Management Group is an independent, centralised 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.

The Compliance Division within Macquarie's Risk Management Group provides compliance support and advice to Macquarie's operating businesses. Compliance staff are aligned with Macquarie's operating businesses, assisting those businesses globally to manage their compliance risks. These, together with a strong, committed team are key drivers of Macquarie's success.

About the role:

This role is at the Senior Vice President level and will act as the Americas Head of Compliance of the corporate advisory and capital markets arm of Macquarie (MacCap). You will be responsible for delivering the regional compliance program for MacCap and act as a member of the regional compliance leadership team. Key responsibilities will include:

  • Providing advice to the business, particularly with respect to regulatory concerns as they pertain to the execution of corporate advisory or capital markets transactions
  • Acting as a senior escalation point for Compliance risks and issues arising in the MacCap business, including potential conflicts of interests
  • Reviewing and enhancing the regional Compliance program for MacCap
  • Leading interpretation and application of Compliance policies and procedures affecting MacCap with global or cross-border impacts
  • Engaging with senior business stakeholders, regional COO and other risk management stakeholders on supervisory, reporting and governance issues
  • Identifying opportunities for improving processes and practices and optimizing linkages and alignment of policy, tools and people across functions, areas of service and support, and geography for the relevant business
  • Actively participating in development, delivery and coordination of training initiatives for the relevant business
  • Participating in implementation of major regulatory developments and other important projects/matters relating to MacCap
  • Participating in strategic decisions on people, policies and the broader compliance program through your membership of the regional compliance leadership team

About You:

To be successful, you will have extensive experience in an investment banking, legal or regulatory environment with strong Advisory Compliance experience within Corporate Finance or Capital Markets. You will possess a strong knowledge of US capital markets and financial services regulations and compliance practices.

Specifically, you will:

  • Have at least 10-15 years of relevant financial industry experience
  • Be a self-starter with strong executive presence
  • Have strong interpersonal skills, initiative and a good eye for detail
  • Have strong written and verbal communication skills
  • Have the ability to take a pragmatic, commercial approach to risk and compliance whilst achieving desired outcomes
  • Preferably have a Series 7 qualification

All qualified applicants will receive consideration for employment and will not be discriminated against on the basis of race, colour, 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 individuals who are minorities, women, protected veterans, and individuals with disabilities.


Advertised: 12 Sep 2016 Eastern Standard Time
Applications close: