Employee Compliance Associate
Macquarie Group · Manila, Philippines · 5h ago
Mid levelOn-siteRisk & Compliance
Join our global team supporting Macquarie's centralised compliance operations, monitoring, and quality assurance activities. This critical role is responsible for the operational execution, oversight, monitoring, and continuous improvement of compliance processes relating to key regulatory and compliance risks, with a particular focus on personal compliance requirements.
We are a global financial services group operating in 30 markets with 57 years of unbroken profitability. At Macquarie, you’re empowered to shape a career that is fulfilling and creates value. You will bring your insights and expertise to the task at hand and feel supported as you make your own kind of impact for a better future.
In this role, you will be an integral part of the Compliance team, supporting both day-to-day compliance operations and quality control activities. You will help ensure operational processes are executed effectively, consistently, and in accordance with internal policies and regulatory requirements, while also identifying opportunities to strengthen controls, improve efficiency, and enhance overall process effectiveness.
Key Responsibilities:
- Provide operational support, including but not limited to:
- Monitoring employee trade accounts, identifying and investigating activities, policy exceptions, and potential breaches; ensuring timely resolutions in line with internal compliance policies.
- Providing advisory support for staff inquiries on personal compliance via email and phone, delivering timely and accurate guidance.
- Support the fulfillment of licensing and regulatory requirements, including reporting and overall comprehensive oversight and monitoring.
- Conduct reviews across various compliance processes using risk-based sampling methodologies
- Track, monitor, and validate remediation actions, ensuring timely and appropriate closure of identified issues.
- Design, document, and implement quality control testing procedures for new or existing operations and compliance activities.
- Identify trends, recurring issues, and opportunities for improvement, and recommend practical enhancements to processes, controls, and governance.
- Prepare clear, accurate, and timely documentation and reporting of review findings, outcomes, and corrective actions to support compliance oversight and management.
- Support the development and delivery of training initiatives
- Undertake additional tasks and responsibilities as assigned to support team and business priorities.
- Strong analytical skills with keen attention to detail
- Excellent verbal and written communication skills and interpersonal abilities
- Ability to multi-task, be self-directed, prioritise, and meet deadlines while maintaining a high degree of operational accuracy and quality.
- A proactive and curious mindset, with a positive, can-do attitude and willingness to learn.
- Keen interest in risk and compliance, financial services operations, investment products, and regulatory frameworks.
We love hearing from anyone inspired to build a better future with us, if you're excited about the role or working at Macquarie we encourage you to apply.
At Macquarie, you’re empowered to shape a career that’s rewarding in all the ways that matter most to you. Macquarie employees can access a wide range of benefits which, depending on eligibility criteria, include:- 1 wellbeing leave day per year
- 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
- 5 days carers leave of immediate family members on top of annual leave
- 2 days of paid volunteer leave and donation matching
- Voluntary parental medical insurance plan for married employees
- Wellbeing benefits, sessions and events to support your physical, mental and financial wellbeing, including a comprehensive medical and life insurance cover
- 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
- 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 material risks. We are a global team that aims to manage the risks of today and anticipate the risks of tomorrow. Our divisions include compliance, credit, financial crime risk, market risk, operational risk, aggregate risk and prudential, and central.
We are committed to providing an inclusive environment for all, where different experiences, skills and perspectives are valued and respected. Macquarie provides access to opportunities for all individuals regardless of race, colour, religion, sex, sexual orientation, national origin, age, disability, protected veteran status, genetic information, marital status, gender identity or any other characteristic or circumstance.We provide reasonable adjustments to individuals who may need support during the recruitment process and employment. If you require an adjustment, please let us know during the application process.