Compliance Officer: Surveillance (VN2997)

Marex

1d•$75,000 - $115,000

About The Position

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. Primary focus is on US activity and requires knowledge of US rules and familiarity with US regulators. Fluent English is a must.

Requirements

Excellent understanding of US financial markets
Data analysis and interpretation skills
Proficiency in Microsoft Office products (Word, Excel, Outlook, etc)
Organizational and time-management skills
Excellent English verbal and written communication skills
Existing Surveillance experience in a financial markets context
Experience working in a regulated environment and knowledge of the risk and compliance requirements associated with this.

Nice To Haves

Bachelor’s Degree in Finance, Economics, Business, or other related field

Responsibilities

Provide Trade, E-communications, and Voice Surveillance review services to US Broker Dealer (BD) and FCM business lines
Review alerts with due consideration in a timely fashion, maintaining queues within guidelines
Use technical expertise and Surveillance toolset to make determinations on whether or not an alert is a true positive or false positive, closing false positives with proper documentation including explanatory reasoning
Seek additional clarifying information from Clients/Traders as appropriate
Escalate potential true positives to management with proper documentation, including rationale
Notify Employee’s Supervisor or Client of confirmed True Positive
Follow up on open issues as needed
Produce metrics on Surveillance reviews to the Head of US Surveillance
Clearly delineated by date, business line, desk, alert type, client, and trader
Participate in ongoing improvement of the Surveillance function
testing of trade data and OMS/EMS systems to ensure the quality and completeness of data being input to the Surveillance tools
Actively suggesting potential enhancements that would Increase discovery of True Positives, Reclassify False Negatives to True Positives, Reduce the quantity of False Positives without decreasing True Positives
Calibration testing for new and existing scenarios
Documented UAT Review of new scenarios
Provide Surveillance expertise to FCM and BD Advisory Compliance, adding context and counsel to the objective response
Communicate and coordinate with colleagues in Compliance and the business to ensure efficacious processes
Maintain and grow industry knowledge by actively following relevant news events and regulator action
Other Surveillance services as assigned
Ensuring compliance with the company’s regulatory requirements under the SEC, FINRA, NFA, CFTC and other applicable exchanges.
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.