Compliance Officer - Surveillance - VN2849

Marex•New York, NY

1d•$125,000 - $175,000•Onsite

About The Position

Marex is recruiting for a Surveillance Compliance Officer to join their New York office. This role will focus on Trade Activity and Communications Surveillance across various asset classes (Cash Equity, Fixed Income, Commodities, Derivatives) on multiple exchanges, trading platforms, and venues. The position offers an opportunity to gain exposure to a wider range of compliance activities within a market-leading firm. In the complex and evolving financial landscape, Compliance Officers play a vital role in ensuring adherence to regulatory requirements, monitoring transactions, conducting audits, training employees, and implementing policies to minimize non-compliance risks. Compliance also serves as a liaison with regulatory authorities, responding to inquiries and cooperating with examinations. Marex is a global financial services platform providing liquidity, market access, and infrastructure services in energy, commodities, and financial markets. The Group offers Market Making, Clearing, Hedging and Investment Solutions, and Agency and Execution services, with a significant presence in major metals, energy, and agricultural products. With over 2,300 employees across more than 35 global offices, Marex leverages technology-led services and deep market knowledge to provide clients with a competitive advantage.

Requirements

Excellent understanding of financial markets.
Data analysis and interpretation skills.
Proficiency in Microsoft Office products (Word, Excel, Outlook, etc.).
Organizational and time-management skills.
Excellent 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.
Experience working for a regulated exchange or Regulator.
Experience developing strategic Artificial Intelligent (AHI) solutions for Surveillance or Compliance.
FINRA Series 7,24; NFA Series 3, Swaps Proficiency Long Track.
CAMS Certification

Responsibilities

Provide E-communications, Voice, and Trade 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, and 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 BD and FCM 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.
The Company may require you to carry out other duties from time to time.