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Employee Compliance Associate/Analyst

Jacksonville

Join an expanding team working across our Global Employee Compliance Program. This is an opportunity for an entry level professional to be responsible for Employee Trade Surveillance for the Americas and EMEA regions.

As an Associate or Analyst in our Jacksonville office, you will conduct daily monitoring of employee trade activities and policy exceptions and resolutions, as well as manage broker account request/cease letters regarding duplicate confirms and statements. You will also be responsible for the consequence management program and assist with management reporting. Having strong interpersonal and relationship building skills will be necessary to respond to staff inquiries, conduct staff teach-ins and new hire training.

Displaying good judgement and possessing strong analytical, investigative and researching skills will be imperative in this role. You should have the ability to multi-task, be self-directed, prioritize and work to deadlines, while maintaining a high degree of accuracy and quality. You will also need the ability to navigate front-office discussions regarding personal dealing escalations and possess the integrity and sensitivity in communications with employees regarding personal financial information.

This role requires a bachelor’s degree and 1-2 years of relevant experience or an interest in financial markets. You should be familiar with the role of compliance within the banking and financial services industry. Proficiency in Excel, Word and PowerPoint are required. A preferred candidate would have a FINRA Series 7 license (or held one in the past).

If you are ready to explore this exciting opportunity further, apply today.

Find out more about Macquarie careers at www.macquarie.com/careers

About the Risk Management Group

Risk Management Group is an independent, centralized 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.

Our commitment to Diversity and Inclusion 

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 recognize that flexibility comes in a variety of forms. Talk to us about what flexibility you need.

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About Macquarie

The best investment you can make is in yourself.

Whether you’re looking to take on a new project; progress within your division; explore an opportunity in a different team; or relocate globally – we let our people decide which direction they want to take.

At Macquarie we uncover the opportunities others may miss. Our culture promotes innovation, balanced with robust risk management, to realise opportunity for our clients, community, shareholders and our people.

Macquarie is a diversified global financial group providing clients with asset management, banking, advisory and risk and capital solutions across debt, equity and commodities. Headquartered in Sydney and with offices in 31 markets, it is the breadth of our operations, combined with a strong capital position and risk management framework, that has contributed to our 51-year record of unbroken profitability.

Find out more at www.macquarie.com/careers

Job no: RMG-952992
Work type: Full time
Location: Jacksonville
Category: Junior, Compliance, Legal & Regulatory, Risk Management
Group: Risk Management Group
Division: Compliance
Recruiter: Maria Norris
Opening Date: