Senior Manager – Control Room – Hong Kong

  • Competitive
  • Hong Kong
  • Permanent, Full time
  • Macquarie Group
  • 24 Feb 17

Senior Manager – Control Room – Hong Kong

An exciting opportunity to support the head of Compliance Control Room for the Asia region (including Japan excluding ANZ) has become available. We are seeking an experienced professional to join a team that manages the firm's information barriers, conflict of interest, and employee personal trading in addition to Research compliance advisory.

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

This person will ensure the integrity of the firm's information barriers, monitoring transactional and non-transactional MNPI and wall crossings. They will manage the conflicts clearance and escalation process and implement, communicate and maintain restrictions on sales communication, research and trading activities. This individual will advise on research related policies and procedures (P&P), monitor regulatory developments and rule changes, conduct impact analysis and deliver training on key policies and procedures. This person will review research materials, including ordinary course and pre-deal reports, for compliance with applicable regulations, deal specific guidelines and internal policies and advise on employee personal trading, outside business interests, directorships and related personal conduct policies and procedures. This individual will support the annual Compliance Risk Assessment for Research.

We are looking for candidates with 7-10 years' industry experience with a solid understanding of key rules and regulations around conflict of interest, investment banking and research across Asian jurisdictions, OR relevant front office experience (investment banking, private equity or research) and product knowledge.

Founded in 1969, Macquarie Group is a global financial services provider with offices in 28 countries. Our long history of success has come from being different. We value the creativity that diversity of thought brings and we promote an innovative and entrepreneurial culture. 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.

Strong prudential management has been a key to Macquarie's success over many years. The Risk Management Group is an independent, centralised unit responsible for assessing and monitoring risks across the Macquarie Group. 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. The Compliance Division within Macquarie's Risk Management Group provides compliance support and advice to Macquarie's operating businesses.

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Advertised: 28 Nov 2016 China Standard Time
Applications close: