Compliance Associate – Swap Advisory

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.

The Compliance Associate – Swap Dealer will contribute to the ongoing compliance program for Marex’s registered Swap Dealer (Marex Derivative Products, “MDP”) and Securities-Based Swap Dealer (Marex Securities Products, “MSP”). The position will primarily focus on providing real-time compliance support and supervision to the MDP and MSP business units (including Front Office as well as Operations, Finance, and other support functions) and provide guidance to Compliance teams that support those businesses (such as Surveillance).

Implementation of the MDP and MSP Compliance programs may include assisting with the design of controls and tests, development of supervisory MI, implementing regulatory change events and remediation efforts, development of policies and procedures, and assisting with regulatory exams. This role may also expand to cover other businesses including structured products and crypto / digital assets.

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.

MDP and MSP are the primary business units engaged in principal OTC derivatives activity, offering clients from across Marex’s businesses access to risk management and investment products.

• Proactive in implementing Annual Compliance Plan in line with below responsibilities:
  • Provide support for the ongoing management of the Swap Dealer compliance program including creating supervisory MI, designing and implementing control and supervisory processes, and drafting policies and procedures.
  • Provide support and supervision to Marex Swap Dealer business lines.
  • Complete or assist in completing Swap Dealer related regulatory inquiries.
  • Assist with managing Swap Dealer Business Line management relationships.
  • Collaborate to ensure Americas Compliance Calendar deadlines are achieved.
  • Create or assist in developing Swap Dealer Policies and Procedures and Written Supervisory Procedures.
  • Provide Compliance Advisory services for Swap Dealer Trade Surveillance process and other Compliance functions.
  • Conduct research to provide Compliance Advisory services for Swap Dealer support functions such as Trade Reporting, Operations, and Finance.
• Ensuring 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 that 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 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.