Join our Compliance team in Jacksonville and play a key role in providing subject matter expertise on regional legal entity and individual licensing, and associated registrations and reporting obligations. Licensing and Registrations is a team within Compliance Regulatory Risk that is responsible for oversight and administration of entity and individual licensing requirements for Macquarie’s regulated entities.
In this role, you will be responsible for the day-to-day oversight and management of a small team focused on licensing and registrations for our regulated entities. You will maintain a strong working knowledge of the regulatory requirements for FINRA and NFA licensing and registrations and ensure any developments/changes are incorporated into our procedures and practices as appropriate.
You will put your compliance knowledge and expertise to work to ensure regulated entity reporting and disclosures are made accurately and in a timely manner. In addition, you will provide administration of personal compliance policies and associated reporting, as well as assist with general compliance projects that arise from the Risk Management Group Compliance oversight activities.
To be successful in this role, you will bring a bachelor’s degree (or equivalent) in a relevant field, coupled with a minimum of 5 years’ experience in broker dealer and/or swap dealer compliance. It will be essential that you have a strong working knowledge of FINRA and NFA registration requirements.
If you are ready to explore this exciting opportunity further, we’d love to hear from you!
Find out more about Macquarie careers at www.macquarie.com/careers
About the Risk Management Group
The Risk Management Group (RMG) is an independent, centralised unit responsible for ensuring all risk across Macquarie are appropriately assessed and managed. Its divisions include Behavioural Risk, Compliance, Credit, Financial Crime Risk, Internal Audit, Market Risk, Operational Risk, Regulatory Affairs and Aggregate Risk, and RMG Enterprise Support.
Our COVID-19 policy
The health and wellbeing of our employees is a priority. We continue to focus on providing a safe workplace for our people, our stakeholders and those who visit us, and are committed to contributing to the safety of the communities where we live and work.
In line with evolving health regulations and many of our industry peers, we require all Macquarie employees in the United States to be fully vaccinated against COVID-19 and provide proof of full vaccination in order to attend the office and to participate in external meetings and business travel, unless a reasonable accommodation is approved or as otherwise required by law.
Our commitment to Diversity, Equity and Inclusion
The diversity of our people is one of our greatest strengths. An inclusive and equitable workplace enables us to embrace that diversity to deliver more innovative and sustainable solutions for our people, clients, shareholders and communities. At Macquarie, you'll be encouraged to be yourself and supported to perform at your best. If you're inspired to deliver on our purpose of ‘empowering people to innovate and invest for a better future’, we want you on our team. If you need adjustments made to the recruitment process, please reach out to your recruiter.
All qualified applicants will receive consideration for employment and will not be discriminated against on the basis of race, color, 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.
We equip our people with the support to work in a range of flexible ways. Talk to us about what working arrangements would help you thrive.
