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Manager, Security-Based Swap Dealer and Swap Dealer Compliance

Macquarie Global Services
life insurance, vision insurance, parental leave, paid time off, sick time, long term disability, 401(k), remote work
United States, New York, New York
125 West 55th Street (Show on map)
Oct 27, 2026
Join Macquarie's Risk Management Group ("RMG") as a Compliance Professional to support the Chief Compliance Officer of our Swap Dealer ("SD") and Security-Based Swap Dealer ("SBSD") and the CGM Business Compliance Regulatory Team. 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. 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. What role will you play? Press space or enter keys to toggle section visibility In this role, you will provide advice on relevant regulations, internal policies, and procedures to internal stakeholders, including trading and sales teams, while assisting in, among other things, internal investigations, remedial actions, and the preparation of regulatory filings. You will also respond to regulatory inquiries, audits, and examinations, liaising with regulators such as the SEC, CFTC, and NFA, and participate in the governance of SD and SBSD Associated Persons. Additionally, you will monitor regulatory developments, conduct assurance testing, develop or enhance compliance policies, and coordinate with internal stakeholders to ensure adherence to regulatory requirements and internal policies, while investigating and escalating potential non-compliance issues. What you offer Press space or enter keys to toggle section visibility Strong knowledge of regulations, internal policies, and procedures allowing you to provide guidance to stakeholders, assist in internal investigations, and support trading, operational, risk, legal, and sales teams in compliance-related matters Experience in regulatory interactions and governance including responding to or conducting inquiries, audits, and examinations Experience liaising with or working on behalf of regulators such as the SEC, CFTC, and NFA, and participating in the governance or examination of SD and SBSD Associated Persons. The compensation range for this opportunity is a base salary of $119,000 - $144,000/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. We offer a full spectrum of benefits, including Medical, Prescription Drug, Dental, Vision, Health Savings Account, Dependent Day Care Savings Account, Life Insurance, Disability and Other Insurance Plans, Paid Time Off (including Sick Leave, Parental Leave and Vacation), Holidays, 401(k), and Short/Long Term Disability, in addition to other special perks reserved for our employees. 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. What we offer Press space or enter keys to toggle section visibility 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 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 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, market risk, operational risk, aggregate risk and prudential, and central. Inclusion at Macquarie Press space or enter keys to toggle section visibility 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 accommodation to individuals who may need support during the recruitment process and employment. If you require an accommodation, please let us know during the application process.