Banking and Financial Services Group (BFS) is the primary relationship manager for Macquarie's retail client base in Australia, New Zealand, Asia, North America and Europe.

Products and services include wealth management, stockbroking and retail lending and banking solutions such as residential and commercial mortgages, investment lending, credit cards and relationship banking to businesses and professionals.

Overview:

This position will entail providing complex administrative support for the daily activities of the Compliance Department, in a professional manner and under strict confidentiality.  The Compliance Department consists of a number areas requiring Compliance Assistant support.

Education:

• Combination of high school diploma and industry experience is an asset
• A College Diploma/University Degree in a related area is desired

 Qualities:

• Sound judgment and integrity
• Ability to think and act proactively
• Service oriented with an ability to remain professional under pressure
• Self motivated and interested in ongoing learning and professional development

 Skills:

• Strong written and verbal communication skills
• Strong interpersonal skills
• Detail oriented with excellent organizational skills
• Ability to prioritize and handle multiple tasks
• Ability to work under pressure and meet deadlines
• Ability to work effectively in a team setting
• Strong computer skills, especially MS Excel, Word, and Outlook, Power Point

Duties may include:

• OTC Security/Due Diligence;
• Tracking of all incoming OTC stocks through Radar ;
• Tracking of post approval for OTC;
• Quarterly OTC activity summary & BCSC filing;
• Review of monthly high risk reports;
• Tracking  and review of all high risk accounts;
• Monthly scrub/AML filings & DD review of new potential matches;
• File (when required) suspicious transaction reporting;
• Review and track all outside pro accounts;  
• Be the backup for the surveillance team when they are away and on vacation;
• Work on independent projects with the whole team, given our current project list;
• Help prepare for branch audits pre & post;
• Work with complaints/investigations when required to assist in researching items and help prepare a file;
• General administrative duties;  set up of files, labels, faxing, scanning and filing;
• Assist with Regulatory investigations as required;
• Special projects as required;
• Back up for other office administration support roles when required; and
• Various duties as assigned.

Work Experience:

• Prior experience in an Office Administrative role, and direct brokerage experience preferred;
• Excellent knowledge of Access and MS Office: Word, Excel, Power Point & Outlook;
• Must be a team player with a willingness to multitask and adjust duties to support areas effectively;
• Proven ability to work well under pressure and meet strict deadlines is essential.