SOX Governance & Compliance Associate; VN

About Marex

Marex Group plc (NASDAQ: MRX) is a diversified global financial services platform providing essential liquidity, market access and infrastructure services to clients across energy, commodities and financial markets. The group provides comprehensive breadth and depth of coverage across four core services: clearing, agency and execution, market making, and hedging and investment solutions. It has a leading franchise in many major metals, energy and agricultural products, with access to 60 exchanges.

The group provides access to the worlds 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 40 offices worldwide, the group has over 2,300 employees across Europe, Asia and the Americas.

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. Marex is a publicly traded company on the NASDAQ since April of 2024.

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The SOX Governance & Compliance Associate will be responsible for support the Sarbanes-Oxley (SOX) control process for Marex activities in the Americas. These duties will include updating and maintaining process flow maps, oversight and completeness testing of control design and operational effectiveness, deficiency tracking and severity assessment, and other SOX related processes.

• Build and maintain relationships with control owners including personnel in Risk, Treasury, Finance, Operations and Front Office areas and gain commercial understanding of the relevant businesses and their operational processes.
• Review SOX controls completed at all levels of business:
  • Maintaining process flow documentation to ensure the corresponding controls assigned are in compliance with SOX.
  • Review and Test Controls:
    Regularly assess the effectiveness of controls through testing and monitoring to ensure they are operating as designed and remain effective over time.
• Perform scheduled testing of balance sheet substantiation controls and income statement controls, ensuring that the Control Owners take into consideration (where relevant):
  • Maintaining the internal controls assigned in compliance with SOX requirements, including EUC, IUC and MRC.
  • Duties include ensuring appropriate systems and controls are in place for reporting and compliance under SOX
• Support annual SOX related testing including by not limited to: IT Application Control testing, SOC 1&2 reports for in-scope applications, and other activities that require coordination with the Marex technology team.
• 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 elevate 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

• CPA, and/or financial controls certifications preferred
• Knowledge of SOX Section 302/404 requirements, and PCAOB auditing standards
• Experience with Internal or external audit preferable as it pertains to SOX compliance
• Experience in financial services activity including broker-drillers, asset managers or banking
• Excellent verbal and written communication skills
• Proficient in Microsoft Excel, Power Point and Visio
• Experience with the use of AI technology to improve efficiency
• Analytical and accounting skills
• Demonstrates curiosity and is detail oriented
• Resilient in a challenging, fast-paced environment
• Excels at building relationships, networking and influencing others
• Strategic collaborator with insight and agility, ensuring operational effectiveness

Be collaborative - by working together across the organization, we foster teamwork, can better respond to challenges and successfully deliver for our…