This business-aligned compliance role is part of the Risk Management Group (RMG) and will support three business divisions within Macquarie Asset Management (MAM):
- Macquarie Investment Management (MIM)
- Macquarie Specialized Investment Solutions (MSIS)
- Macquarie Infrastructure and Real Assets (MIRA)
RMG is an independent, centralized unit responsible for assessing and monitoring risks across Macquarie. This includes market and liquidity risk, credit risk, compliance risk and operational risk. RMG personnel liaise closely with all operating areas to ensure risks are understood and properly managed.
MAM is a full-service asset manager, offering a diverse range of products including securities investment management, infrastructure and real asset management, and fund and equity-based structured products.
MIM offers investment management expertise across a number of asset classes, including: fixed interest, credit and currencies; equities infrastructure securities; funds of private equity funds; and multi-asset allocation solutions. MIM delivers a full-service offering to both retail and institutional clients in Australia and the US, with selective offerings in other regions.
MSIS specializes in manufacturing and distributing a range of tailored fund and equity-based products independently and through joint ventures. MSIS's global base includes retail investors, private banks and institutions. The division is recognized for product innovation, with a strong track record in providing tailored investment solutions to clients.
MIRA is a leading global alternative asset manager specializing in infrastructure, real estate, agriculture and energy. With over 400 professionals globally and over two decades of experience, MIRA currently manages approximately $50 billion in equity under management and approximately $100 billion in assets under management.
We are looking for a Senior Analyst/Manager to join the MAM Compliance team in New York.You will work closely with senior members of the team and be responsible for:
- assisting on all aspects of the compliance program required for an SEC-registered investment adviser, with an emphasis on reviewing marketing material and various elements of the 206(4)-7 annual testing and monitoring program in accordance with the US Investment Advisers Act of 1940 (the "Advisers Act") and the US Investment Company Act of 1940 (the "Company Act")
- assessing the impact of material regulatory developments throughout the Americas and assist in implementation of new policies, procedures and controls across the MAM businesses (e.g., Department of Labor Fiduciary Rule)
- reviewing new product/business approvals
- helping to coordinate regulatory examinations
The ideal candidate will have:
- an undergraduate degree or post graduate degree
- excellent communication and qualitative analytical skills
- strong ability to work under pressure, flexibility, innovation and achievement drive
- team and solution-oriented approach
- 3+ years working in an asset management business (either standalone or within a broader financial institution) providing advice on regulatory and other compliance matters impacting private funds and investment companies subject to the Advisers Act and Company Act.
- Experience providing compliance support for businesses dealing in over-the-counter derivatives regulated under Title VII of Dodd Frank.
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.