Matthew
Associate Director, Compliance at Macquarie Group
- Role
- Associate Director Compliance at Macquarie Group
- Location
- New York, NY, US
- LinkedIn followers
- 500 followers
About Matthew
Compliance & Internal Audit professional with 15 years of experience in the financial services industry. Demonstrated ability to leverage subject matter expertise and lead teams to deliver on complex engagements in both compliance and internal audit, including during periods of organizational change.
Experience
Associate Director Compliance
May 2024 — Present · New York, NY, US
Manage compliance risks for Macquarie Capital (MacCap), the corporate advisory, capital markets, and principal investing business of Macquarie Group- Advise on regulatory compliance risk management (Broker Dealer and Registered Investment Advisor compliance)- Review principal investments for compliance risks and provide recommendations to Compliance Senior Management for approval across, including assessment of regulatory, licensing (financial), and reputational risks- Manage monitoring and testing programs across the Broker Dealer and Registered Investment Advisor (RIA)- Collaborate with front office teams and other non-financial risk control functions to understand and manage non-financial risks across Investment Banking division- Initial point of contact for questions from Investment Banking staff relating to Compliance Central policies, including employee personal trading, gifts and entertainment, conflicts of interest, and information barriers- Assist MacCap employees in understanding the required licenses and examinations for their roles- Develop and lead Compliance trainings in-person and globally across Broker Dealer. Trainings include: FINRA Firm Element Training, Supervision, RIA Training and New Hire RIA, Broker Dealer Training, Artificial Intelligence (AI)- Led “Training and Awareness” workstream in global compliance AI working group, developing training for all global compliance teams on evaluating compliance risks in potential AI use cases, business projects, and investments in AI. Developed and led staff training to increase the use and familiarity of available internal AI tools and resources
Education
The College of New Jersey
Bachelor of Science (B.S.), Finance, Minor in Economics
2006 — 2010
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