Compliance Officer - Trade Surveillance - VN

Purpose of Role

Marex is recruiting for a Surveillance Compliance officer to join the team at our New York office. The role will primarily focus on Trade Surveillance (Trade Activity and Communications) across a range of asset classes (Cash Equity, Fixed Income, Commodities, Derivatives (Futures, Options, Swaps)) on multiple exchanges, trading platforms and venues with an opportunity to gain exposure to a wider range of compliance activities at a market-leading firm.

• Provide Trade Surveillance, E-communications, and Voice review services to US Broker Dealer (BD) and FCM (Futures) business lines
  • Review alerts with due consideration in a timely fashion, maintaining queues within guidelines
    • Use technical expertise and Surveillance toolset to make determinations on whether or not an alert is a true positive or false positive, closing false positives with proper documentation including explanatory reasoning.
    • Seek additional clarifying information from Clients/Traders as appropriate.
    • Escalate potential true positives to management with proper documentation, including rationale.
      • Notify Employee’s Supervisor or Client of confirmed True Positive.
    • Follow up on open issues as needed.
• Produce metrics on Surveillance reviews to the Head of US Surveillance
  • Clearly delineated by date, business line, desk, alert type, client, and trader.
• Participate in ongoing improvement of the Surveillance function
  • Testing of trade data and OMS/EMS systems to ensure the quality and completeness of data being input to the Surveillance tools
  • Actively suggesting potential enhancements that would
    • Increase discovery of True Positives.
    • Reclassify False Negatives to True Positives.
    • Reduce the quantity of False Positives without decreasing True Positives.
  • Calibration testing for new and existing scenario.
  • Documented UAT Review of new scenarios.
• Provide Surveillance expertise to BD and FCM Advisory Compliance, adding context and counsel to the objective response.
• Communicate and coordinate with colleagues in Compliance and the business to ensure efficacious processes.
• Maintain and grow industry knowledge by actively following relevant news events and regulator action.
• Other Surveillance services as assigned.
• 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.

Competencies

• Demonstrable 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.
• Excellence in building relationships, networking and influencing other.
• 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.

Skills and Experience

Essential

• Excellent understanding of financial markets.
• Data analysis and interpretation skills.
• Proficiency in Microsoft Office products (Word, Excel, Outlook, etc.).
• Organizational and time‑management skills.
• Excellent verbal and written communication skills.
• Existing Surveillance experience in a financial markets context.
• Experience working in a regulated environment and knowledge of the risk and compliance requirements…