Head of Business Compliance, US Wealth Solutions
Macquarie Bank Limited - New York
Work at Macquarie Bank Limited
Overview
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Overview
Head of Business Compliance, US Wealth Solutions
We are seeking an experienced senior compliance officer to serve as the Head of Compliance for the US Wealth Solutions business within Macquarie Asset Management in New York. This role reports to the Americas Regional Head of Macquarie Asset Management Compliance and focuses on providing compliance support for registered and private alternatives to wealth (A2W) strategies, including infrastructure, renewables, energy transition, and private credit.
Key Responsibilities
- Manage the US compliance program for an SEC-registered investment adviser managing A2W strategies, in collaboration with the Americas Regional Head of MAM Business Compliance.
- Provide compliance advice to MAM business teams across the US on regulatory issues, including the Investment Advisers Act and Investment Company Act of 1940, and developments related to fund origination, distribution, and management.
- Respond to external regulatory correspondence and queries in consultation with senior management and relevant boards.
- Review and approve new transactions, funds, and products within the Wealth Solutions division.
- Collaborate with MAM’s Client Solutions Group to review marketing materials and fund documents such as prospectuses and investor presentations.
- Participate actively in Investor Due Diligence meetings to approve fund offering documents.
About the Risk Management Group
The Risk Management Group is an independent, centralized function responsible for reviewing and monitoring Macquarie’s material risks. Our global team manages various risk divisions, including compliance, credit, financial crime risk, internal audit, market risk, operational risk, and prudential risk.
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