Compliance Surveillance Analyst - Graduate

Marex Group plc (NASDAQ: MRX) is a diversified global financial services platform providing essential liquidity, market access and infrastructure services to clients across energy, commodities and financial markets. The group provides comprehensive breadth and depth of coverage across four core services: clearing, agency and execution, market making, and hedging and investment solutions. It has a leading franchise in many major metals, energy and agricultural products, with access to 60 exchanges. 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 40 offices worldwide, the group has over 2,400 employees across Europe, Asia-Pacific and the Americas.

Embark on a transformative journey with Marex’s Full-Time Graduate Programme – an experience tailored to empower and support Analysts. Dive into the ‘Backpack to Briefcase’ bootcamp, unveiling the intricacies of financial services, Marex’s purpose, and strategic priorities. Join your team post-bootcamp, fostering connections through continuous training. Learn, grow, and expand your network through a diverse array of sessions fast-tracking your understanding of Marex and the industry. Engage in workshops covering behavioural, cognitive skills, technical understanding, and business awareness, nurturing your professional development. Throughout the programme, seize the opportunity to attend informal insight events and a lunch and learn series hosted by senior Marex Leaders. Gain exposure, ask questions, and gain real insights into the business from influential figures. From day one, connect with a network of fellow graduates. Attend training and events together, creating bonds with those sharing your journey. Join Marex, where your passions align with purpose, and your strengths converge with our values.

In supporting the Firm in meeting its regulatory obligations, Compliance provides expert advice, oversight and thought leadership in relation to relevant rules and regulations. Compliance is responsible for overseeing the adherence to regulatory requirements and expectations through compliance policies, advisory activity, training, monitoring, surveillance and supporting the firm to implement regulatory change. The Compliance Surveillance function is responsible for implementing a framework of assessments and controls designed to identify and mitigate Market Abuse risks, and for reporting any potential Market Abuse to regulators. The Compliance Surveillance Analyst will provide support to the Head of Surveillance Governance & Strategy in implementing a transformation programme across all Surveillance related processes and procedures globally. This position will require someone who is organised, conscientious and is comfortable working with and manipulating data to generate meaningful reports and MI. The successful candidate will have the opportunity to liaise with Technology, Compliance Assurance, Compliance Advisory, Operations, and Risk.

Key responsibilities of the role include:

• Assist with key Surveillance Governance processes, including Market Abuse Risk Assessment (MARA), Change Management, and Acquisition Due Diligence, including testing.
• Administration of an effective Governance framework for the Surveillance function including policies, standards, and controls for market abuse detection.
• Controls inventory management.
• Assist with establishment of Surveillance risk management system.
• Assist with establishment of Business MI, Governance MI and regular MI production.
• Assist with other remediation and BAU tasks as required.

Overall Responsibilities

• Support the surveillance work by carrying out assigned tasks.
• Track remediation actions stemming from surveillance work, to ensure timely and effective.
• Assisting the implementing of surveillance change including carrying out in various aspect of testing.
• Build strong and collaborative working relationships within Compliance globally and other key stakeholders in the business and risk & control functions.
• Support the Surveillance team by undertaking ad-hoc compliance-related activities such as investigations or incident-related root cause analysis as directed.
• Develop an understanding of the processes, products and regulatory requirements applicable to Marex and how to assess these for compliance/ regulatory/ conduct risk.

Standard Responsibilities

• Ensuring compliance with the company’s regulatory requirements under the FCA.
• Adhering to the operational risk framework for your role ensuring that all regulatory or company determined parameters are complied with.
• Being a role model for demonstrating highest level standards of integrity and conduct and reflecting Company Values.
• At all times complying with the FCA’s Code of Conduct.
• Ensuring 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.
• Reporting any breaches of policy to Compliance and/ or your supervisor as required.
• Providing input to risk management processes, as required.

The Company may require you to carry out other duties from time to time.

Skills and Experience

• Interest in compliance regulation and compliance risks in a financial services environment.
• Degree in science, maths, economics or other numerate/ logic-based topics.
• Structured, organised and efficient approach with good attention to detail.
• Proactive, self-motivated and willing to learn.
• Ability to take ownership of own work and delivery.
• Excellent written, verbal and interpersonal skills.
• A collaborative team player, approachable, self-sufficient and influences a positive work environment.
• Demonstrates curiosity and attention to detail.
• Resilient in a challenging, fast-paced environment.
• Ability to take instruction and take responsibility for own delivery in a fast pace and high-volume environment.
• Excels at building relationships, networking and influencing others.

Company Values

• Respect – Clients are at the heart of our business, with superior execution and superb client service the foundation of the firm. We respect our clients and always treat them fairly.
• Integrity – Doing business the right way is the only way. We hold ourselves to a high ethical standard in everything we do – our clients expect this and we demand it of ourselves.
• Collaborative – We work in teams – open and direct communication and the willingness to work hard and collaboratively are the basis for effective teamwork. Working well with others is necessary for us to succeed at what we do.
• Developing our People – Our people are the basis of our competitive advantage. We look to “grow our own” and make Marex Spectron the place ambitious, hardworking, talented people choose to build their careers.
• Adaptable and Nimble – Our size and flexibility is an advantage. We are big enough to support our client’s various needs, and adaptable and nimble enough to respond quickly to changing conditions or requirements. A non-bureaucratic, but well controlled environment fosters initiative as well as employee satisfaction.

Conduct Rules

• You must: Act with integrity
• Act with due skill, care and diligence
• Be open and cooperative with the FCA, the PRA and other regulators
• Pay due regard to the interests of customers and treat them fairly
• Observe proper standard of market conduct

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