Senior Manager – Control Room – Hong Kong

  • Competitive
  • Hong Kong
  • Permanent, Full time
  • Macquarie Group
  • 17 Jan 17

Senior Manager – Control Room – Hong Kong

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.

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Supporting the head of Compliance Control Room for the Asia region (including Japan excluding ANZ), we are seeking a self motivated, experienced individual to join a team that manages the firm's information barriers, conflict of interest, employee personal trading as well as Research and Equity Capital Market compliance advisory function.

Compliance Control Room is a part of Risk Management Group of Macquarie. The role requires regular interaction with key, senior stake holders within Compliance organization, Business aligned Legal as well as the business units Control Room supports. The successful candidate will be joining a dynamic global team located across four offices-Sydney, Hong Kong, London and New York.

Key responsibilities will include:

  • Ensuring the integrity of the firm's information barriers and monitoring transactional and non-transactional MNPI
  • Managing information barrier mappings and wall crossings
  • Implementation, communication and maintenance of restrictions on sales communication, research and trading
  • Advising on research related policies and procedures
  • Review of research materials, including ordinary course and pre-deal reports, for compliance with applicable regulations, deal specific guidelines and internal policies
  • Advising on capital market transaction related policies and procedures
  • Managing the conflicts clearance and escalation process
  • Advising on employee personal trading, outside business interests, directorships and related personal conduct policies and procedures
  • Lead the annual Compliance Risk Assessment for Research
  • Manage the annual EPT/EFM certification process
  • Deliver training on key policies and procedures

To be successful, you:
  • Have solid understanding of key rules and regulations around conflict of interest, investment banking advisory, capital raise and research across Asian jurisdictions
  • Have strong analytical skills, familiarity with the business and products Control Room supports, an ability to see "the big picture" and apply strategic thinking
  • Have the ability to take a pragmatic, commercial approach to compliance whilst sufficiently addressing and mitigating potential risks
  • Have strong organization, communication, negotiation and interpersonal skills to be an effective advisor and team player
  • Demonstrate an ability to work independently, multi-task and determine priorities in time sensitive environment
  • Team and project management skills are a plus

Macquarie understands the importance of diversity and inclusion - our long history of success has come from being different. At Macquarie we value the innovation and creativity that diversity of thought brings. The one thing we all have in common is our focus on high performance. If you're capable, motivated and can deliver, we want you on our team.

Advertised: 28 Nov 2016 China Standard Time
Applications close: