Global Monitoring and Surveillance Senior Manager
The Compliance Division within Macquarie's Risk Management Group provides compliance support and advice to Macquarie's operating businesses. The Monitoring & Surveillance (M&S) Team is a centralized function within Compliance which works across all business groups at Macquarie. M&S conducts e-Communication Surveillance, Trade Surveillance and Regulatory Assurance.
This role provides the opportunity for a compliance officer with strong organizational and communications skills to provide leadership to the Global M&S team in Manila. This integral role will report to the Head of M&S, Manila, and will be responsible for overseeing the daily activities of the M&S team, serving an escalation point for those staff and providing critical management reporting to functional managers in regional hubs.
This role offers a range of responsibilities and an enormous variety of work for you to be involved in on a daily basis. To be successful you will need to be flexible and adaptable, with strong interpersonal skills to provide leadership and mentoring to the team. You will need to be efficient and well organised, as well as able to problem-solve, finding solutions to situations as they arise. The successful candidate will report to the Head of M&S, Manila.Indirect reporting line to relevant Function Leads in hub locations.
In this role your key responsibilities will include:
Supervision and management of the day to day activities of the M&S team including:
- Resource allocation including recruitment
- Performance management and reviews
- Staff training and development
- Overseeing, tracking and reporting on adherence to the SLA/KPIs of the M&S teams.
- Management of future transitions of services to the M&S team.
Provide relevant and accurate reporting to Functional Leads and Senior RMG Management.Working with Functional Leads, coaching and mentoring others to design procedures and controls which are reasonably designed to ensure compliance with regulatory standards and best practices. Includes creation and maintenance of work instructions for all relevant processes managed by the M&S team.Point of escalation for the team, providing risk based resolution where possible or escalating to Functional Leads where necessary.Proactively following up issues to a successful conclusion.Responsibility for Business Continuity Planning for the M&S team; including testing adequacy of arrangements.
To succeed in this role you possess a Minimum 6 years relevant legal regulatory experience in either financial services, law or audit firm supported by relevant tertiary qualifications. You must be a Team leader experience and capability, either direct or project based with excellent relationship management and organizational skills. You have strong analytical skills, highly self-motivated and able to determine priorities, meet deadlines and SLAs. In addition, you possess strong written and verbal communication skills, able to negotiate, persuade and will maintain confidence when challenged. You have the ability to work independently and efficiently in a geographically dispersed teams with global stakeholders, able to assimilate information quickly with high attention to detail. The ability to identify conflicts of interest and areas of high regulatory/ compliance risk; previous experience within a monitoring or surveillance function highly desirable. An understanding of business drivers and a strategic capability to harmonise compliance process with business needs
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.
Find out more about Macquarie careers at www.macquarie.com/careers
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. We facilitate a range of flexible working arrangements within our teams. Talk to us about what flexibility may be available.