Compliance Officer, Broker-Dealer Advisor (Equities and Options) (VN2750

Broker-Dealer Compliance Advisor (Focusing on Equities and Options)

Diversified. Resilient. Dynamic.

Marex is a global financial services platform, providing essential liquidity, market access and infrastructure services to clients in the energy, commodities and financial markets.

The Group provides comprehensive breadth and depth of coverage across four core services:
Market Making, Clearing, Hedging and Investment Solutions and Agency and Execution. It has a major franchise in many major metals, energy and agricultural products, executing around 50 million trades and clearing 205 million contracts in 2022. The Group provides access to the world's major commodity markets, covering a broad range of clients that include some of the largest commodity producers, consumers and traders, banks, hedge funds and asset managers.

With more than 35 offices around the globe, and over 2,300 dedicated people enabling access to exchanges and technology-powered services.

Purpose of Role:

Marex is seeking a Broker-Dealer Compliance Advisor (focusing on Equities and Options) who is meant to be a subject matter expert in U.S. Broker-Dealer regulation providing compliance advisory services, with a strong background on Equities and Listed Options trading activities, as well as knowledge of various regulatory reporting requirements. Such guidance is tailored to resolving issues with consideration to regulatory requirements, regulatory and firm risk, and industry best practices.

Responsibilities:

• Support the Head of U.S. Broker-Dealer Compliance.
• Provide compliance advisory support to front office teams across day-to-day business activities.
• Review, draft and enhance U.S. Broker-Dealer Policies and Procedures and Written Supervisory Procedures.
• Review new business initiatives, products, and markets to ensure full compliance before launch through the BCAC management review process.
• Collaborate to ensure Compliance Calendar deadlines are achieved.
• Ensuring compliance with the company's regulatory requirements under U.S. Broker-Dealer regulatory bodies (e.g. FINRA, SEC).
• 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.

Competencies,

Skills and Experience:

Competencies:

• Demonstrate 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.
• 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.

Skills and Experience:

• At least eight (8) years of financial industry experience in a legal or compliance role.
• Bachelor's Degree in Finance, Economics, Business, or other related field is required (JD or other graduate degree desired).
• Experienced with equity options.
• Experienced in U.S. Broker-Dealer Regulatory matters.
• Previous Compliance experience within financial services.
• Ability to work in a matrix reporting organization.
• Excellent verbal and written communication skills.
• Experience working in a regulated environment and knowledge of the risk and compliance requirements associated with this.

Salary Range: $150,000 to $185,000 per year base salary and eligible for discretionary bonus.

Company Values:

• Be collaborative - by working together across the organization, we foster teamwork, can better respond to challenges and successfully deliver for our clients
• Act with integrity - we pride ourselves on our honesty and high ethical standards. We apply these values when working with all our clients, colleagues and other stakeholders
• Be adaptable and entrepreneurial - we embrace change as markets evolve to constantly increase our efficiency and create innovative solutions for our…