Senior Manager - Compliance Regulatory Assurance - Hong Kong (or Singapore)

  • Competitive
  • Hong Kong
  • Festanstellung, Vollzeit
  • Macquarie Group
  • 18 Nov 17 2017-11-18

Senior Manager - Compliance Regulatory Assurance - Hong Kong (or Singapore)

As part of our efforts to increase the Compliance Monitoring capability, we are looking for a Manager to join our Regulatory Assurance team within Compliance Asia. The successful candidate will be based in Hong Kong and will report into the head of Regulatory Risk Asia.

About us

MACQUARIE Group Limited is a global investment banking and diversified financial services group, providing banking, financial advisory and investment and funds management services to institutional, corporate and retail clients and counterparties around the world.

Macquarie understands the importance of diversity and inclusion - our long history of success has come from being different. At Macquarie we value the innovation and creativity that diversity of thought brings. The one thing we all have in common is our focus on high performance. If you're capable, motivated and can deliver, we want you on our team.

We facilitate a range of flexible working arrangements within our teams. Talk to us about what flexibility may be available.

The Compliance Division adopts a risk-based approach to performing independent monitoring and surveillance activities to supplement the supervisory activities performed by the Macquarie businesses.

About the role

The Compliance Regulatory Assurance function is the "second line" function responsible for delivering effective risk-based assurance reviews, so as to ensure compliance with local rules, regulations and the Macquarie compliance framework. The Regulatory Assurance team works across all business units to undertake periodic reviews covering the design, execution and operational effectiveness of the regulatory control framework. Regulatory Assurance reviews can cover trading desks, business functions, branches, geographic locations and cross-entity thematic areas.

Key responsibilities include:

  • drive business engagement and confirm the assessment of key compliance risks and controls to business stakeholders, this as part of the annual risk and control self-assessment exercise;
  • conduct regulatory assurance reviews of key areas identified via the annual risk and control self-assessment exercise, as well as those requested by Compliance management or other areas within the Business;
  • maintain effective oversight of the Asia regulatory universe, review and testing coverage;
  • provide meaningful and timely reports of reviews conducted;
  • ensure that underlying testing activities undertaken are appropriately recorded and accounted for;
  • monitor and track the actions resulting from exceptions noted during reviews up until successful closure; and
  • drive initiatives to achieve greater compliance and business-oriented results.

About you

To be successful, it is essential that you are tertiary qualified with solid regulatory compliance assurance experience from within one of the Big 4 audit firms, a financial services organisation or a financial services regulator. You will have effective personal skills and the ability to negotiate at all levels. You will also be able to demonstrate:
  • an inquisitive and analytical mind with the ability to proactively identify and analyse problems, and propose viable solutions;
  • the ability to develop relationships across various stakeholders, including local and regional Compliance staff and the business;
  • exceptional written and verbal communication skills;
  • the ability to work to deadlines whilst maintaining a high degree of accuracy and quality;
  • handle multiple tasks and prioritise effectively;
  • a keen attention to detail as well as an ability to view the bigger picture; and
  • self-direction with a strong commitment to continuous self-improvement.


Advertised: 14 Nov 2017 China Standard Time
Applications close: