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Macquarie Group · 1 day ago

Compliance Manager, Wealth Solutions

NYC Metro Area

Full-time

Hybrid

Mid, Senior Level

$100K/yr - $152K/yr

4+ years exp

Macquarie Group is a global financial services group operating in 31 markets, and they are seeking a Compliance Manager for their Wealth Solutions division. This role involves advising on complex regulatory matters and supporting innovative investment strategies while collaborating with senior stakeholders and ensuring compliance with SEC regulations.

BankingFinanceFinancial Services

Responsibilities

Supporting the US compliance program for an SEC-registered investment adviser

Working closely with the Chief Compliance Officer to manage Alternatives to Wealth and credit strategies

Providing expert compliance advice to business teams across the US

Addressing regulatory matters such as the Investment Advisers Act and Investment Company Act of 1940

Managing responses to regulatory correspondence

Overseeing compliance reviews and approvals for new transactions, funds, and products

Collaborating with the Client Solutions Group to review marketing materials and fund documents

Preparing regulatory compliance reports

Assisting in assessing and strengthening the compliance framework

Ensuring the business remains up to date with evolving rules and regulations through proactive communication and implementation of necessary changes

Qualification

Compliance experienceUS securities lawsRegulatory adviceCommercial mindsetCollaboration

Required

4 to 8 years Compliance experience gained within the asset management industry (A2W compliance experience essential) preferably within a private equity, infrastructure, or multi-asset Manager

Knowledge of US securities laws relating to asset management (e.g., Investment Advisers Act and Investment Company Act of 1940)

Commercial mindset and business acumen to take a pragmatic approach to compliance, while achieving the desired outcome

Enjoy working in collaboration with the business in a challenging wide and varied compliance role

Preferred

Experience providing regulatory advice relating to business development companies is a plus

Other global compliance knowledge desirable

Benefits

1 wellbeing leave day per year and a minimum of 25 days of annual leave

20 weeks’ paid parental leave for primary caregivers along with 12 days of paid transition leave upon return to work and 6 weeks’ paid leave for secondary caregivers

2 days of paid volunteer leave and donation matching

Benefits and initiatives to support your physical, mental and financial wellbeing such as medical, prescription drug, dental, and vision insurance; health savings account and dependent day care savings account; life insurance, disability, and other insurance plans; 401(k) and short/long term disability

Access to our Employee Assistance Program, a robust behavioural health network with counselling and coaching services

Access to a wide range of learning and development opportunities, including reimbursement for professional membership or subscription

Recognition and service awards

Hybrid and flexible working arrangements, dependent on role

Reimbursement for work from home equipment