Senior Compliance Officer – Broker Dealer Advisory

New York, NY Full-Time Compliance

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.

Marex is seeking a Senior Compliance Officer – Broker Dealer Advisory who will provide compliance advisory services for Equities, Fixed Income, Listed Options, Structured Products trading activities as well as knowledge of various regulatory reporting requirements. The position will primarily focus on providing real-time compliance advisory services and serve as the subject matter expert to Marex Capital Markets Inc. (“MCMI”) business units.

Such guidance will be tailored to resolving issues with consideration to regulatory requirements, regulatory and firm risk and industry best practices. In addition, this individual will be responsible for advising in the individuals within the various Marex Business lines from a Compliance perspective.

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.

In the ever-evolving financial landscape, Compliance has become increasingly complex. Marex must navigate a wide range of regulatory requirements to maintain licenses and protect Marex’s reputation. Compliance and Compliance Officers play a crucial role in ensuring that all activities are conducted in accordance with the law.

Compliance Officers monitor transactions, conduct regular audits, train employees on regulatory requirements, and implement policies and procedures to minimize non-compliance risks. Compliance efforts are instrumental in fostering a compliant culture within Marex and ensuring that all employees understand their responsibilities.

Furthermore, Compliance is a bridge between Marex and regulatory authorities. Compliance is responsible for responding to inquiries, providing necessary documentation, and cooperating with regulatory examinations and investigations. This collaboration is essential in maintaining a healthy and transparent relationship between Marex and regulatory bodies.

Responsibilities:

Proactive in implementing Annual Compliance Plan in line with below responsibilities:

• Provide Compliance Advisory services to broker-dealer business lines.
• Complete or assist in completing broker-dealer related regulatory inquiries and/or examinations.
• Complete or assist in completing broker-dealer guidance, related to business change proposals, for management review.
• Manage broker-dealer Business Line management relationships.
• Collaborate to ensure Americas Compliance Calendar deadlines are achieved.
• Work with business partners (i.e., Surveillance, IT, Operations etc.) to develop and enhance systems, tools, reports, and processes to monitor business activities.
• Serve as a subject matter expert (“SME”)on products, regulatory reporting, and broker-dealer operations by maintaining proficient knowledge of applicable functions.
• Provide regulatory and compliance advice to business partners about complex sales and trading issues.
• Create or assist in developing and implementing the Compliance Manual and Written Supervisory Procedures.
• Provide…