Compliance Surveillance Strategy & Governance Officer

Marex Group plc is a diversified global financial services platform, providing essential liquidity, market access and infrastructure services to clients in the energy, commodities and financial markets. It listed on Nasdaq Global Select Market in April 2024. With more than 35 offices in Europe, US and APAC, it 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.

In supporting Marex 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 Strategy & Governance Officer will provide support to the Head of Surveillance Governance & Strategy in designing and implementing a transformation programme across all Surveillance related processes and procedures globally.

This position requires someone who is well-rounded, possessing excellent written and verbal communication skills, who is productive, conscientious and comfortable working with and manipulating data to generate meaningful reports and MI. The successful candidate will build strong relationships globally with Business units, Technology, Compliance Assurance, Compliance Advisory, Operations, and Risk.

Responsibilities

• Help drive key Surveillance Governance processes, including Market Abuse Risk Assessment (MARA), Change Management, and Acquisition Due Diligence, including testing.
• Help to implement an effective Governance framework for the Surveillance function including policies, standards, and controls for market abuse detection.
• Manage the taxonomy of risk behaviours for Market Abuse.
• Manage the controls inventory.
• Help to establish and implement internal standards for all department documentation, ensuring it is properly updated, stored and socialised.
• Identify opportunities for process enhancements while implementing governance processes that strengthen the control environment and facilitate efficiency.
• Help with establishment of Surveillance risk management system.
• Oversee the establishment of specific Business MI, Governance MI and regular MI production.
• Take responsibility for other remediation and BAU tasks as required.

Skills and Experience

• Bachelor’s degree or equivalent experience.
• 8+ years working within a bank, regulator, or similar financial institution.
• Expertise in EU/UK market surveillance and regional regulatory frameworks, including MAR and MiFID II; knowledge of other regions such as Americas and APAC desirable.
• Proven understanding of Market Abuse behaviours and associated surveillance programmes, including Market Abuse Risk Assessments.
• Experience of interpreting trade and market data and understanding of input data flows across different asset classes.
• Experience of Change management and/or process improvement and automation.
• A collaborative team player, approachable, self-sufficient and influences a positive and professional work environment.
• Excels at building relationships, networking and influencing others.
• Proactive and self-motivated to solve problems and address risks.
• Able to deliver high quality results within competing deadlines.
• First rate written, verbal and interpersonal skills.

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

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 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.

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