Compliance Officer, Finance & Banking

Permanent - Full time, Junior, Mid-level

This role offers the opportunity to work at the forefront of compliance within a dynamic asset management environment, advising on complex regulatory matters and supporting innovative investment strategies. You’ll gain exposure to a wide range of products and transactions, collaborate with senior stakeholders across the US and globally, and develop expertise in areas such as fund origination, distribution, and SEC regulations.

At Macquarie, our advantage is bringing together diverse people and empowering them to shape all kinds of possibilities. We are a global financial services group operating in 31 markets and with 56 years of unbroken profitability. You’ll be part of a friendly and supportive team where everyone - no matter what role - contributes ideas and drives outcomes.

You will be responsible for supporting the US compliance program for an SEC-registered investment adviser, working closely with the Chief Compliance Officer to manage Alternatives to Wealth and credit strategies. You will provide expert compliance advice to business teams across the US, addressing regulatory matters such as the Investment Advisers Act and Investment Company Act of 1940, as well as fund origination, distribution, and licensing issues.

Your role includes managing responses to regulatory correspondence, overseeing compliance reviews and approvals for new transactions, funds, and products, and collaborating with the Client Solutions Group to review marketing materials and fund documents. Additionally, you will prepare regulatory compliance reports, assist in assessing and strengthening the compliance framework, and ensure the business remains up to date with evolving rules and regulations through proactive communication and implementation of necessary changes.

• 4 to 8 years Compliance experience gained within the asset management industry (A2W compliance experience essential) preferably within a private equity, infrastructure, or multi-asset Manager.
• Knowledge of US securities laws relating to asset management (e.g., Investment Advisers Act and Investment Company Act of 1940), with other global compliance knowledge desirable.
• Experience providing regulatory advice relating to business development companies is a plus.
• Commercial mindset and business acumen to take a pragmatic approach to compliance, while achieving the desired outcome.
• Enjoy working in collaboration with the business in a challenging wide and varied compliance role.

Salary range for this position: $100,000 - $152,000/Year. Actual base salary may vary based upon, but not limited to, relevant experience, time in role, peer and market data, prior performance, business sector, and geographic location. You may also be eligible for an annual discretionary incentive compensation award. You can further read about the full spectrum of benefits we offer our people listed below.

• 1 wellbeing leave day per year and a minimum of 25 days of annual leave
• 20 weeks’ paid parental leave for primary caregivers along with 12 days of paid transition leave upon return to work and 6 weeks’ paid leave for secondary caregivers
• 2 days of paid volunteer leave and donation matching
• Benefits and initiatives to support your physical, mental and financial wellbeing such as medical, prescription drug, dental, and vision insurance; health savings account and dependent day care savings account; life insurance, disability, and other insurance plans; 401(k) and short/long term disability
• Access to our Employee Assistance Program, a robust behavioural health network with counselling and coaching services
• Access to a wide range of learning and development opportunities, including reimbursement for professional membership or subscription
• Recognition and service awards
• Hybrid and flexible working arrangements, dependent on role
• Reimbursement for work from home equipment

Our Risk Management Group works as an independent, and centralised function, responsible for independent and objective review and challenge, oversight, monitoring and reporting in relation to Macquarie’s…