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Associate Director, Commodities and Global Markets Compliance - Risk Management Group - Houston

Apply now Job no: RMG-935773
Work type: Full time
Location: Houston
Group: Risk Management Group
Division: Compliance
Recruiter: Tammy Lee

Macquarie Group (Macquarie) is a global provider of banking, financial, advisory, investment and funds management services. Macquarie's main business focus is making returns by providing a diversified range of services to clients. Founded in 1969, Macquarie operates in more than 70 office locations in 28 countries and employs more than 13,900 people.

At Macquarie, we offer you the experience and freedom to grow your career while making your mark within a highly successful organization. Key to our success is the entrepreneurialism we encourage in all our people. We give you the opportunity to progress your career as quickly as you can demonstrate your ability.

The Commodities and Global Markets ("CGM") Group in the Americas provides a variety of trading, risk management, sales, structuring, financing, market analysis and strategy services. Activities include financial and physical trading in commodities and securities, futures, foreign exchange and commodity financing. The Houston based business focus Natural Gas, Power, Crude and Refined products.

The Role - Senior Compliance Professional, CGM

As the manager of the Compliance team in Houston servicing CGM's compliance needs, you will consult with and advise front-office staff and key business stakeholders. Additionally, you will work on Compliance projects and tasks to ensure Macquarie continues to meet the obligations within its regulatory and compliance framework. The function also requires working closely with other members of the CGM Compliance team in the Americas, the broader Macquarie Compliance Function and globally, as needed. 

Key Responsibilities

  • Provide compliance support to the CGM Commodities teams and related businesses in the Houston, Minneapolis and Calgary Offices with regulatory and compliance issues
  • Lead the compliance review of new transactions and new products
  • Develop and maintain compliance plans, related policies and procedures and monitor compliance with these policies
  • Assist with the preparation of regulatory compliance reports as required per the compliance plans and governance framework
  • Carry out and oversee relevant monitoring and surveillance activities
  • Oversee the monitoring, reporting and escalation of compliance issues
  • Keep abreast of upcoming, new and revised rules, regulations and directives applicable to the business, and facilitate changes as required. This includes proactive and early communication with business and compliance stakeholders to ensure timely compliance with any changes required
  • Liaise with compliance colleagues to assist with the delivery of the regional and global compliance priorities


  • Demonstrable compliance and relevant industry experience of at least 10 years gained within, Energy Companies, commodities trading firms and/or financial services companies
  • Experience managing people and teams
  • Experience with futures exchanges including the ICE and CME related to rules including position limits and hedge exemptions
  • Compliance experience in Futures, financial and physical commodities trading
  • Persuasive communication skills, both written and verbal
  • Team oriented
  • Must be able to effectively work in a trading floor environment
  • Spanish language skills would be an advantage
  • Working knowledge of EPA Part 79 & 80, regulations and reporting requirements
  • Development and submission of FERC EQR and form 552
  • Experience with regulatory Exams and inquiries
  • Working knowledge of Dodd Frank requirements

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.


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