Join Macquarie's Risk Management Group as an experienced Senior Regulatory Lawyer or Compliance Professional to support the Chief Compliance Officer of our Swap Dealer and Security-Based Swap Dealer. You will contribute to the development, implementation, and oversight of the firm’s compliance program, ensuring adherence to CFTC, SEC, and NFA regulations, including Dodd-Frank Title VII requirements, while leveraging your expertise in derivatives regulation and experience in managing compliance programs to interface effectively with regulators and internal stakeholders.

While Macquarie offers hybrid working for many of our roles, this role does require four days a week in our New York office.

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 34 markets and with 55 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.

What role will you play?

Press space or enter keys to toggle section visibility

In this role, you will provide expert guidance on CFTC, SEC, and NFA regulations impacting swap and security-based swap dealer activities and support the Chief Compliance Officer in regulatory obligations. You will oversee policies, procedures, and reporting, monitor regulatory developments, and help enhance the compliance program. Additionally, you will maintain and update the swap dealer and SBSD compliance program, conduct risk assessments, and support regulatory filings. You will also assist in regulatory interactions, audits, and examinations, prepare responses to inquiries, and collaborate with internal stakeholders to ensure compliance with evolving regulations.

The compensation range for this opportunity is a base salary of $173,000 - $205,000/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.

What you offer

Press space or enter keys to toggle section visibility

J.D. degree or advanced degree in law preferred and 8-11 years of experience in financial services, with a strong focus on derivatives compliance, swap dealer regulation, or securities law
In-depth knowledge of CFTC, SEC, and NFA rules and regulations, particularly those applicable to swap and SBSD activities
Strong understanding of trade execution, margin requirements, recordkeeping, reporting, and business conduct standards for swap dealer and SBSD entities
Proven ability to interact with regulators, auditors, and senior management
Excellent analytical, communication, and project management skills.

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.

About the Risk Management Group

Press space or enter keys to toggle section visibility

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, internal audit, market risk, operational risk, aggregate risk and prudential, and central.

Our commitment to diversity, equity and inclusion

Press space or enter keys to toggle section visibility

We are committed to providing a working environment that embraces diversity, equity and inclusion. As an inclusive employer, Macquarie provides equal opportunities to all individuals regardless 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.

Our aim is to provide reasonable accommodations to individuals who may need support during the recruitment process and through working arrangements. If you require additional assistance, please let us know during the application process.

Apply now

See more open positions at Macquarie Group

Privacy policy Cookie policy