Head of Central Compliance - VN2574

Marex•New York, NY

14d•$200,000 - $250,000

About The Position

Marex is seeking a Head of Central Compliance to join the organization at either the Chicago or New York office. The role will primarily focus on Registrations (e.g. FINRA, NFA) and Regulatory Affairs. The individual will manage a team of ~4 compliance officers and should be adaptable working in a matrix organization. Excellent written and verbal communications skills are required. In addition, previous leadership experience is strongly preferred. Marex has unique access across markets with significant share globally both on and off exchange. The depth of knowledge amongst its teams and divisions provides its customers with clear advantage, and its technology-led service provides access to all major exchanges, order-flow management via screen, voice and DMA, plus award-winning data, insights and analytics. 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 ten (10) years of Financial Industry experience in a legal or compliance role
Bachelor’s Degree in Finance, Economics, Business, or other related field.
Experience managing a team.
Robust expertise and knowledge of regulatory registration requirements, particularly FINRA and NFA.
Experience in the coordination of regulatory inquiries and examinations
Excellent written and verbal communications skills
Ability to work in a matrix reporting organization
Ability to Lead.
Excellent Communication skills.
Demonstrated ability to delegate.
Demonstrable curiosity.
Resilience in a challenging, fast-paced environment.
Ability to communicate across geography, business function, corporate level, and experience set.
Unimpeachable character with integrity that guides all decisions
Excellence in building relationships, networking and influencing others.
Self-starter with an ability to prioritize and manage multiple deliverables from beginning to completion.
A collaborative team player, approachable, self-efficient and influences a positive work environment.
Strategic collaborator with insight and agility, able to anticipate future challenges, ensuring operational effectiveness.

Nice To Haves

Prior experience and expertise in Compliance Experience in regulator registrations, inquires, and examinations.
JD or other graduate degree (Master’s)

Responsibilities

Support the Head of Compliance, Americas and the overall objectives of the compliance team.
Collaborate to ensure Compliance Calendar deadlines are achieved.
Manage a team of ~4 members across Registrations, Regulatory Affairs and Gifts & Hospitality.
Coordinate regulatory inquiries and/or examinations.
Responsible for Central Compliance Organizational Charts
Responsible for Central Compliance Procedures.
Responsible for Central Compliance Business Questions
Ensuring compliance with the company’s regulatory requirements under the NFA, CFTC and 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.