Senior Compliance Manager – Macquarie Equities Limited

Job Listing No: 9740000

Senior Compliance Manager – Macquarie Equities Limited

Macquarie Group – Sydney, NSW – Bring your experience in Compliance to a 2nd Line business aligned function providing independent advice to Macquarie Equities Limited in relation to its Financial Services Licence and status as a Market Participant. The role will see you providing day-to-day compliance advice to Macquarie Equities Limited, in relation to both its AFSL, Market Participant and internal policy obligations. You will drive, co-ordinate and participate in projects impacting the group whether complex, routine or ad hoc, whilst providing compliance representation on markets related working groups and other forums for the purpose of enhancing the Wealth Management businesses, including Private Bank Licensee Standards, frameworks and policies. You will also have responsibility for managing the relationship with ASIC and the ASX and engage with ASIC surrounding breach reporting, notices, regulatory onsite visits, external regulator meetings, market/trading issues, surveillance and ad hoc queries. You will also e… – Permanent – Full-time

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