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Regulatory Counsel (Americas) - Risk Management Group - Houston or New York

Apply now Job no: RMG-935985
Work type: Full time
Location: Houston, New York
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.

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.

The Role

The ORC Regulatory Attorney provides legal, advice, counsel and support to management and all impacted businesses in regard to regulatory compliance with financial product regulations with emphasis on CFTC, SEC, and Canadian over-the-counter derivative regulations, including their cross-border impact. This position will report to the ORC Managing Regulatory Counsel and can be based in either Houston or New York City.

Key Responsibilities:

  • Monitoring and tracking of relevant new, amended and proposed financial product/derivative regulations, in coordination with Regulatory Risk and Group Legal teams, and understand and advise on their impact to the firm. Focus will be CFTC, SEC and Canadian over-the-counter derivative regulations, but also required to monitor additional derivative regulations globally and assist with cross-border assessment
  • Staying abreast of regulator rule interpretations and related enforcement actions to advise the firm on best practices for compliance with relevant regulations and assess areas of risk
  • Collaborating with internal stakeholders to implement effective, efficient and commercially viable solutions for implementation and ongoing compliance with derivative/financial product regulations
  • Participating in industry-wide and internal calls/meetings to monitor regulatory activity and industry practices and compliance strategies
  • Assisting Chief Compliance Officers in support of the production of the swap dealer and futures commission merchant Annual Reports to the CFTC
  • Advising the swap dealer and FCM risk management committees on relevant regulations
  • Preparing content for updates to senior management and other internal stakeholders in regard to swap dealer activities and regular compliance communications to relevant staff
  • Responsible for maintaining and keeping up-to-date certain compliance policies owned by ORC, including the swap dealer manuals
  • Responsible for advising on and drafting, as applicable, new policies designed to ensure compliance with new or changed regulations
  • Assisting training team and other internal stakeholders as needed with development of training programs
  • Represent the firm in relation to internal investigations and regulator examinations, inquiries and other matters


  • Doctor of Jurisprudence (J.D.) or equivalent degree is necessary
  • At least 10 years working in a derivative environment is highly preferred; equivalent law firm experience handling derivative regulatory and transactional matters
  • Experience working with industry groups and interaction with regulators
  • Must have excellent interpersonal, verbal, written and presentation skills
  • Must be able to work with individuals at all levels of the organization
  • Must demonstrate sound judgment and adherence to ethical standards at all time
  • Business acumen, innovation, strategic thinking, professionalism, visionary leadership and problem-solving skills are critical to the successful candidate
  • Responsible for being knowledgeable of relevant regulations and Macquarie’s related policies

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 of individuals who are minorities, women, protected veterans, and individuals with disabilities.


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