Compliance Officer, Broker-Dealer Advisor (Equities and Options) - VN2750

Marex•New York, NY

101d•$150,000 - $185,000

About The Position

Marex is seeking a Broker-Dealer Compliance Advisor with a focus on Equities and Options. This role requires a subject matter expert in U.S. Broker-Dealer regulation, providing compliance advisory services. The ideal candidate will have a strong background in Equities and Listed Options trading activities, as well as knowledge of various regulatory reporting requirements. This guidance is tailored to resolving issues with consideration to regulatory requirements, regulatory and firm risk, and industry best practices. In the ever-evolving financial landscape, Compliance has become increasingly complex. Marex must navigate a wide range of regulatory requirements to maintain licenses and protect Marex’s reputation. Compliance and Compliance Officers play a crucial role in ensuring that all activities are conducted in accordance with the law. Compliance Officers monitor transactions, conduct regular audits, train employees on regulatory requirements, and implement policies and procedures to minimize non-compliance risks. Compliance efforts are instrumental in fostering a compliant culture within Marex and ensuring that all employees understand their responsibilities. Furthermore, Compliance is a bridge between Marex and regulatory authorities. Compliance is responsible for responding to inquiries, providing necessary documentation, and cooperating with regulatory examinations and investigations. This collaboration is essential in maintaining a healthy and transparent relationship between Marex and regulatory bodies.

Requirements

At least eight (8) years of financial industry experience in a legal or compliance role.
Bachelor’s Degree in Finance, Economics, Business, or other related field is required.
Experienced with equity options.
Experienced in U.S. Broker-Dealer Regulatory matters.
Previous Compliance experience within financial services.
Ability to work in a matrix reporting organization.
Excellent verbal and written communication skills.
Experience working in a regulated environment and knowledge of the risk and compliance requirements associated with this.

Nice To Haves

JD or other graduate degree desired.

Responsibilities

Support the Head of U.S. Broker-Dealer Compliance.
Provide compliance advisory support to front office teams across day-to-day business activities.
Review, draft and enhance U.S. Broker-Dealer Policies and Procedures and Written Supervisory Procedures.
Review new business initiatives, products, and markets to ensure full compliance before launch through the BCAC management review process.
Collaborate to ensure Compliance Calendar deadlines are achieved.
Ensuring compliance with the company’s regulatory requirements under U.S. Broker-Dealer regulatory bodies (e.g. FINRA, SEC).
Adhere to the operational risk framework for your role ensuring that all regulatory or company determined parameters are complied with.
Role model for demonstrating highest level standards of integrity and conduct and reflecting Company Values.
At all times complying with Marex’s Code of Conduct.
To ensure that you are fully aware of and adhere to internal policies that relate to you, your role or any other activities for which you have any level of responsibility.
To report any breaches of policy to Compliance and/ /or your supervisor as required.
To escalate risk events immediately.
To provide input to risk management processes, as required.
The Company may require you to carry out other duties from time to time.