Regulatory Operations, Client Onboarding and Reporting - Senior Associate- Houston

  • Competitive
  • Houston, TX, USA
  • Permanent, Full time
  • Macquarie
  • 24 Sep 16

Regulatory Operations, Client Onboarding and Reporting - Senior Associate- Houston


Macquarie Group is a global provider of banking, financial, advisory, investment and funds management services. Macquarie's main business focus is making returns by providing a diversified range of services to clients. Founded in 1969, Macquarie employs more than 13,900 people in over 28 countries and has been active in Asia Pacific for more than 40 years.

Corporate Operations Group (COG) provides specialist professional services, human resources, workplace infrastructure, and technology and market operations to Macquarie's businesses. The primary purpose of COG is to support and enhance the value of Macquarie through the creation of an efficient, scalable operating model.

The Market Operations Division provides independent specialist verification, confirmation and settlement facilities for a variety of products and currencies for many of Macquarie's businesses globally. The division provides a key segregated control function for wholesale businesses built on strong operational risk management and a control culture that is consistent and resilient.

Market Operations Division is currently seeking to appoint a Regulatory Operations Analyst for a Houston based role. The successful candidate will be joining the Regulatory Operations Team which is composed of Client Onboarding and Regulatory Reporting. Client Onboarding performs KYC checks on new and existing customers to fulfil AML regulatory requirements in multiple jurisdictions. Regulatory Reporting generates regulatory reports and filings for the regulated trading businesses in the North American region, with a particular focus on the Commodities and Financial Markets trading group.

The suitable applicant should be enthusiastic, flexible and able to demonstrate initiative in a challenging and varied role.

You will be responsible for:

  • Conducting research on new and existing clients, obtaining company KYC data from public sources
  • Liaising with the client and front & middle office staff to obtain required KYC and legal documentation prior to client set-up
  • Screening entity names against sanctions, adverse news and politically exposed person lists
  • Escalation of due-diligence findings to senior management and the Compliance function
  • Entering and maintaining customer data and documents into the client onboarding database
  • Ensuring timely production of core reporting for regulatory purposes
  • Ensure execution of data reconciliation controls for each report or filling
  • Work closely with the Compliance function to ensure appropriate resolution of issues arising during report production
  • Coordinate timely submission of reporting requirements, including review and approval by relevant internal stakeholders


To be successful in this role you will have:

  • Minimum education; Bachelor's degree
  • Research and analytical skills with the ability to summarize complex findings
  • Strong written and verbal communications skills
  • Attention to detail and organization skills
  • Experience working within a financial institution
  • Ability to work in a fast paced environment
  • Ability to conduct independent verification of reporting data
  • Excellent analytical skills and the ability to consult and resolve issues related to data extraction, validation, report generation


[ FOR US ROLES ONLY: All qualified applicants will receive consideration for employment and will not be discriminated against on the basis of race, color, religion, sex, sexual orientation, national origin, age, disability, or protected veteran status. Macquarie takes affirmative action in support of its policy to hire and advance in employment individuals who are minorities, women, protected veterans, and individuals with disabilities.]

Advertised: 05 Aug 2016 Central Standard Time
Applications close: