Testing and Monitoring Officer (VN2386)

Marex•Chicago, IL

5d•$90,000 - $130,000

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 that controls are adequate and effective in ensuring the Firm complies with applicable Americas-based rules and regulations and Marex policies and procedures. The position sits within Marex’s U.S. compliance department, which includes business advisory, registrations, training, policies and procedures, and surveillance teams. These teams support Marex Capital Markets Inc., a futures commission merchant and U.S. registered broker-dealer, as well as swap dealer activities for Marex Derivatives Inc. and Marex Securities Products, Inc. The role contributes to risk-based compliance assurance, risk assessment, remediation validation, regulatory support, and continuous improvement of compliance processes. It collaborates with global Compliance colleagues, business units, and risk and control functions, and must uphold Marex’s policies, values, conduct standards, and applicable regulatory requirements.

Requirements

Extensive experience in compliance monitoring or testing, 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 in Microsoft Excel and Word, and experience using IT systems and databases.
Experience working in regulated environments and understanding associated risk and compliance requirements.
Demonstrated integrity and compliance with applicable conduct standards, policies, and regulatory requirements.

Nice To Haves

Familiarity with Structured Products, Exchange Traded Derivatives, and OTC Derivatives.
Experience or a strong interest in leveraging data and analytics to enhance compliance processes.
Ability and willingness to use AI assistants to research regulatory rules and internal policies, synthesize identified issues, and help draft comprehensive reports.

Responsibilities

Lead risk-based reviews in alignment 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 tasks, including regulatory information requests, investigations, and root cause analysis of incidents.
Work with business units and risk and control functions to support an integrated and consistent approach to risk assessment.
Deliver timely, high-quality testing reports that provide actionable insights and add 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 regulatory requirements, including those of the SEC, FINRA, NFA, CFTC, and other applicable regulators and exchanges.
Comply with the operational framework and all regulatory and company-defined parameters.
Demonstrate integrity and uphold company values by following Marex’s Code of Conduct and all relevant internal policies.
Report policy breaches promptly to Compliance and/or a supervisor, and escalate risk events immediately.
Provide input to risk management processes when needed.
Perform other duties as required by the Company.