Testing and Monitoring Officer (VN2386)

Marex•Chicago, IL

About The Position

The Testing and Monitoring Officer supports the Head of Compliance Assurance, the Head of Compliance for the Americas, and the Global Head of Compliance Assurance. The role leads reviews to verify the adequacy and effectiveness of controls and to help ensure the Firm follows applicable Americas-based rules and regulations, as well as Marex policies and procedures. The position sits within the U.S. compliance function, which supports Marex Capital Markets Inc., a futures commission merchant and U.S. registered broker-dealer, and swap dealer activities for Marex Derivatives Inc. and Marex Securities Products, Inc. The officer conducts risk-based reviews, assesses regulatory risks and controls, validates remediation, and collaborates with business units and risk and control functions. The role also supports regulatory requests and investigations, contributes to assurance planning, and promotes consistent, high-quality compliance practices.

Requirements

Extensive experience in compliance monitoring or testing, compliance advisory, or audit roles within U.S. regulated financial institutions.
In-depth understanding of U.S. rules and regulations and broad knowledge of compliance risks, assessments, and assurance activities.
Exceptional verbal and written communication skills, including the ability to explain complex concepts clearly.
Proficiency with Microsoft Excel and Word, and experience using IT systems and databases.
Ability to use AI assistants to accelerate research into regulatory rules and internal policies, synthesize issues, and help draft comprehensive reports.
Experience working in regulated environments and understanding related risk and compliance requirements.
Demonstrate curiosity and continuous learning, resilience and adaptability, accountability and ownership, relationship-building and influence, and strategic collaboration.
Act with integrity, exercise due skill, care and diligence, cooperate with U.S. regulators, prioritize customer interests, and adhere to market standards.

Nice To Haves

Familiarity with Structured Products, Exchange Traded Derivatives, and OTC Derivatives; beneficial but not essential.
Experience or a strong interest in using data and analytics to enhance compliance processes.

Responsibilities

Lead risk-based reviews aligned with the Annual Compliance Assurance Plan, including preparing scope documents, developing test scripts and work papers, and reporting findings.
Design and execute test scripts to collect and analyze data from multiple departments, supporting compliance reviews and documenting evidence.
Validate remediation actions resulting from reviews to ensure issues are effectively resolved.
Facilitate the Compliance Risk Assessment process, report on regulatory risks, and evaluate existing controls.
Collaborate across the global Compliance function and provide regional support on risk assessment methodology and assurance activities.
Assist with ad-hoc compliance work, including regulatory information requests, investigations, and root cause analysis of incidents.
Work with business units and risk and control functions to promote an integrated and consistent approach to risk assessment.
Deliver timely, high-quality testing reports that provide actionable insights and value.
Contribute to development of the Annual Compliance Assurance Plan, focusing on the Americas region.
Identify and share industry best practices to improve compliance processes and team knowledge.
Ensure adherence to requirements of the SEC, FINRA, NFA, CFTC, and other applicable regulators and exchanges.
Comply with the operational framework and all regulatory and company-defined parameters.
Uphold Marex’s Code of Conduct and relevant internal policies, demonstrate ethical conduct, promptly report policy breaches, and immediately escalate risk events.
Provide input to risk management processes when needed.
Perform other duties as required by the Company.