Senior Manager, Compliance - Macquarie Investment Management

  • Competitive
  • Philadelphia, PA, USA
  • Permanent, Full time
  • Macquarie Group
  • 02 Oct 17 2017-10-02

Exciting compliance career growth opportunity at the center of a rapidly growing global asset management firm with over $165 Billion in assets under management. Position will work with a high degree of autonomy under the general direction of the Deputy Chief Compliance Officer. The Compliance Department has primary compliance responsibility for all of the firm’s investment advisory and distribution activities. This includes oversight of the annual reviews and testing of controls and procedures as required by Rules 38a-1 and 206(4)-7 as well as FINRA Rule 3120. Assigned areas of responsibility may be related to investment advisory or broker-dealer functions compliance.

Macquarie Investment Management is a global asset manager with offices throughout the US, Europe, Asia, and Australia. As active managers, we prioritize autonomy and accountability at the team level in pursuit of opportunities that matter for clients. Our conviction-based, long-term approach has led institutional and individual clients to entrust us to manage US$256.9 billion in assets as of Dec. 31, 2016. Macquarie Investment Management is a division of Macquarie Asset Management, a global asset manager with US$362.1 billion in assets under management as of Dec. 31, 2016.

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.

Key responsibilities

  • Day-to-day management of assigned functions within the compliance department (e.g. adviser oversight, advertising and marketing materials review, or account investment guidelines or company policy management such as code of ethics)
  • Lead a team of compliance analysts by setting priorities, assigning and reviewing work
  • Assist in development of global asset management compliance platform including asset management functions in jurisdictions such as Australia, Europe, Middle East, and Asia, including Hong Kong, Korea and Japan
  • Evaluate the performance of assigned staff, including formal and informal performance appraisals
  • Identify and facilitate training and development opportunities for assigned staff
  • Maintenance of compliance policies and procedures – ensuring that they are complete and accurate and coordinating and participating in the review and testing of relevant compliance policies necessary to conduct required annual reviews
  • Represent the compliance department across the firm, especially with respect to the areas  supervised
  • Coordinate and participate in projects of various complexity, including managing teams of assigned staff on routine and ad hoc projects
  • Other duties and tasks as assigned

Position requirements

  • Minimum of 5-7 years experience in an investment advisory and/or broker-dealer firm, with emphasis on leading regulatory functions, particularly those related to specific  areas (e.g. marketing review, advisory compliance programs)
  • BA/BS degree required
  • Demonstrated ability to prioritize and manage multiple assignments at once
  • Ability to work independently and as part of a high-functioning team
  • Ability to communicate effectively orally and in writing
  • Experience managing and leading a team of professionals in a broad range of responsibilities
  • Experience with staff development, including setting employee goals and objectives and evaluating performance
  • FINRA series 7 and 24 licenses, or willingness and ability to obtain
  • Proficiency with Microsoft Office applications


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.