Compliance Officer, Broker-Dealer Advisor (Equity Options) VN2750

Marex•New York, NY

About The Position

Marex is seeking a Broker-Dealer Compliance Advisor (focusing on Equity Options) who will serve as a subject matter expert in U.S. Broker-Dealer regulation. This role involves providing compliance advisory services with a strong background in Equities and Listed Options trading activities, as well as knowledge of various regulatory reporting requirements. The guidance provided will be tailored to resolving issues while considering regulatory requirements, regulatory and firm risk, and industry best practices. In the complex and evolving financial landscape, Compliance plays a crucial role in ensuring all activities adhere to the law, maintaining licenses, and protecting Marex’s reputation. Compliance Officers monitor transactions, conduct audits, train employees, and implement policies to minimize risks. This function also acts as a liaison with regulatory authorities, responding to inquiries, providing documentation, and cooperating with examinations and investigations to maintain a transparent relationship. Marex is a global financial services platform providing essential liquidity, market access, and infrastructure services. The Group has a major franchise in metals, energy, and agricultural products, executing millions of trades and clearing numerous contracts annually. With over 2,300 employees across more than 35 offices globally, Marex offers access to major commodity markets and serves a broad range of clients including producers, consumers, traders, banks, hedge funds, and asset managers.

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.