Senior Equity Operations Support - VN

Senior Equity Operations Support - VN2268

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. For more information visit

Purpose of Role: Marex is seeking a Senior Equity Operations support who will be part of a team responsible for two primary business lines – Equity Brokerage and Equity Prime Brokerage Desks. The Brokerage business is well established while Equity Prime Brokerage is rapidly growing. Both are support primarily on vendor systems with Broadridge and BAML being the two most used.

The team also supports a variety of OTC products traded via a SEF (Swaps Execution Facility). Operations is a control function; controls must be followed and continually improved. Staff will handle daily work and establish framework for new products or initiatives.

• Supervise and evidence reviews of daily controls performed by the team.
• Supervise daily activity of Broadridge BPO, including Equity & Options P&S, DTC Settlements, and various Operational Controls.
• Work closely with Broadridge to implement new processes and to improve existing processes.
• Process all equity and option transactions including life cycle events (exercises and assignments, corporate actions, etc). Manage the trade flow through our various Middle Office systems.
• Monitor and resolve customer unaffirmed trades, street‑side breaks and failed trades.
• Identify and clear breaks prior to market open and work with the clearing firm to process End‑of‑Day actions.
• Perform end‑of‑day controls to ensure proper trade booking and allocation processing.
• Floor brokerage invoice reconciliations.
• SEF (Swaps Execution Facility) trade processing for OTC Swaps.
• Adhere to and propose improvements to the control framework, including SOX controls.
• Work with Front Office, Risk, Finance, Compliance, IT and Operations to support BAU (business as usual).
• Ensure compliance with the company’s regulatory requirements under the SEC, FINRA, NFA, CFTC and other applicable exchanges.
• Adhere to the operational risk framework for your role ensuring 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 comply with Marex’s Code of Conduct:
  • Ensure internal policies relating to you are fully understood and adhered to.
  • Report any breaches of policy to Compliance and/or your supervisor as required.
  • Escalate risk events immediately.
  • Provide input to risk management processes, as required.
• The Company may require you to carry out other duties from time to time.

• Astute thinker with aptitude to learn.
• Effective problem solver who can work independently as well as with a larger team.
• Accurate and thorough with a client focus.
• Strong interpersonal characteristics with ability to build relationships with internal staff across the firm and interact comfortably with MCM clients.
• Demonstrates curiosity.
• Strong work ethic (early and late shifts may be instituted and required).
• Resilient in a challenging, fast‑paced environment.
• Excels at building relationships, networking and influencing others.
• Strategic collaborator with insight and agility, able to anticipate future challenges and ensure operational effectiveness.

• At least (5) five years’ experience in a Financial Institution required.
• Bachelor’s degree in Finance, Business,…