Compliance Officer BrokerDealer Advisor VN

Purpose of Role

Marex is seeking a Broker‑Dealer Compliance Advisor who is a subject matter expert in U.S. Broker‑Dealer regulation, providing compliance advisory services with a strong background in Equities and Listed Options trading activities, as well as knowledge of various regulatory reporting requirements. Guidance is tailored to resolving issues with consideration to regulatory requirements, regulatory and firm risk, and industry best practices.

• Support the Head of U.S. Broker‑Dealer Compliance.
• Provide compliance advisory support to front‑office teams across day‑to‑day business activities.
• Review, draft and enhance U.S. Broker‑Dealer Policies and Procedures and Written Supervisory Procedures.
• Review new business initiatives, products, and markets to ensure full compliance before launch through the BCAC management review process.
• Collaborate to ensure Compliance Calendar deadlines are achieved.
• Ensure compliance with the company's regulatory requirements under U.S. Broker‑Dealer regulatory bodies (e.g. FINRA, SEC).
• Adhere to the operational risk framework for your role, ensuring that all regulatory or company‑determined parameters are complied with.
• Act as a role model for demonstrating highest level standards of integrity and conduct and reflecting Company Values.
• Comply at all times with Marex's Code of Conduct:
• Remain fully aware of and adhere to internal policies that relate to your role or any other activities for which you have any level of responsibility.
• 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.

• Demonstrate curiosity.
• Resilience in a challenging, fast‑paced environment.
• Ability to communicate across geography, business function, corporate level, and experience set.
• Unimpeachable character with integrity that guides all decisions.
• Self‑starter with an ability to prioritize and manage multiple deliverables from beginning to completion.
• A collaborative team player, approachable, self‑efficient and influences a positive work environment.
• Strategic collaborator with insight and agility, able to anticipate future challenges, ensuring operational effectiveness.

• At least eight (8) years of financial industry experience in a legal or compliance role.
• Bachelor's Degree in Finance, Economics, Business, or other related field is required (JD or other graduate degree desired).
• Experienced in U.S. Broker‑Dealer Regulatory matters.
• Previous Compliance experience within financial services.
• Ability to work in a matrix reporting organization.
• Excellent verbal and written communication skills.
• Experience working in a regulated environment and knowledge of the risk and compliance requirements associated with this.

Salary Range: $150,000 to $185,000 per year base salary and eligible for discretionary bonus.

Marex Benefits for 2026

Marex is fully committed to the elimination of unlawful or unfair discrimination and values the differences that a diverse workforce brings to the company.

We are an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability status, protected veteran status, or any other characteristic protected by the law.