Head of Broker Dealer Compliance, Americas and Chief Compliance Officer; VN

Head of Broker Dealer Compliance

The Head of Broker Dealer Compliance is an expert in Broker Dealer regulation that leads a team of compliance officers in providing compliance advisory services for Equities, Fixed Income, Listed Options trading activities as well as knowledge of various regulatory reporting requirements. The role primarily focuses on providing real-time compliance advisory services to the Americas Broker Dealer business units. Such guidance is tailored to resolving issues with consideration to regulatory requirements, regulatory and firm risk, and industry best practices.

In addition, this role advises individuals within the various Marex Business lines from a Compliance perspective.

Responsibilities include:

• Lead and develop the Americas Broker Dealer Compliance team, overseeing talent management, performance, training, and succession planning
• Serve as the primary Compliance advisor to U.S. Broker Dealer businesses, providing guidance across Equities, Fixed Income, Listed Options, and related activities
• Partner with business leaders and desk heads to deliver proactive, risk-based compliance advice and support strategic business initiatives
• Oversee the firm's Broker Dealer compliance framework, ensuring adherence to SEC, FINRA, OCC, exchange, and other applicable regulatory requirements
• Direct compliance oversight of key programs, including trade surveillance, regulatory reporting, employee compliance, and registration-related activities
• Ensure timely completion of regulatory examinations, inquiries, compliance assessments, governance reviews, and reporting obligations
• Maintain and enhance Broker Dealer policies, procedures, and Written Supervisory Procedures (WSPs) to address evolving regulatory requirements and business needs
• Promote a strong culture of compliance, risk awareness, integrity, and ethical conduct while supporting the firm's operational risk management framework

Competencies, skills, and experience include:

• 10+ years of Broker Dealer Compliance experience with deep expertise in U.S. securities regulations, including SEC, FINRA, OCC, self-regulatory organizations, and applicable exchanges
• Proven leadership experience with the ability to build, develop, and motivate high-performing teams
• Strong regulatory judgment and the ability to analyze complex issues, assess risk, and deliver practical, business-focused solutions
• Exceptional communication and stakeholder management skills, with the ability to influence senior management and front-office leaders
• Proven ability to make, support, and defend complex compliance decisions in a fast-paced, highly regulated environment
• Strategic, proactive, and intellectually curious, with the ability to anticipate emerging risks and regulatory developments
• Collaborative and relationship-oriented, with demonstrated success working across functions, geographies, and levels of the organization
• High degree of integrity, professionalism, resilience, and accountability, with the ability to manage multiple priorities and deliver results under pressure

Salary Range: $290,000 to $335,000 per year 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 clients. We are interested in the world around us and inquisitive about understanding the challenges and opportunities our clients…