Testing and Monitoring Officer; VN

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 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 40 offices worldwide, the group has over 2,300 employees across Europe, Asia and the Americas.

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To support the Head of Compliance Assurance and the Head of Compliance, for the Americas as well as the Global Head of Compliance Assurance. The role requires the individual lead reviews to verify the adequacy and effectiveness of controls in place to ensure the Firm follows applicable Americas based rules and regulations and Marex policies and procedures.

Marex has unique access across markets with significant share globally both on and off exchanges. 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.

The U.S. compliance department has several departments made up of business advisory roles, registrations, training, policies, procedures, and surveillance that all support three different areas, Marex Capital Markets Inc. a futures commission merchant and a U.S. registered broker-dealer, as well as swap dealer activities for Marex Derivatives Inc. and Marex Securities Products, Inc.

• Lead risk-based reviews in alignment with the Annual Compliance Assurance Plan, including preparing scope documents, developing test scripts and work papers to document reviews, and producing reports on findings.
• Design and execute test scripts to collect and analyze data from multiple departments to support compliance reviews and evidence findings.
• Validate remediation actions resulting from reviews to ensure effective resolution.
• Facilitate the Compliance Risk Assessment process, reporting on regulatory risks and evaluating existing controls.
• Foster strong global collaborative within the 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.
• Collaborate with business units and risk/control functions to ensure an integrated and consistent approach to risk assessment.
• Deliver timely high-quality testing reports, ensuring they provide actionable insights and add value.
• Contribute to the development of the Annual Compliance Assurance Plan, with a focus on the Americas region.
• Identify and share industry best practices to enhance compliance processes and team knowledge.
• Ensure adherence to regulatory requirements, including SEC, FINRA, NFA, CFTC and other applicable regulators and exchanges.
• Comply with the operational framework, meeting all regulatory and company defined parameters.
• Demonstrate integrity and uphold company values, serving as a role model for ethical conduct by adhering to Marex’s Code of Conduct and all internal policies relevant to your role and responsibilities.
• Report policy breaches promptly to Compliance…