Senior Compliance Officer – Central Compliance

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 2,300 employees across Europe, Asia and the Americas.

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. Central Compliance are responsible for the development and implementation of compliance policies, training, regulatory registrations, exchange returns, complaints handling, conflicts management, regulatory interactions, regulatory developments, audit requests and whistleblowing framework oversight.

The role supports the Head of Central Compliance with the day-to-day operation of the Central Compliance function. The role will primarily focus on and support the following key areas which form part of the Central Compliance Function:

• Training
• Compliance Policy Framework
• Complaints Handling
• Conflicts Management (including PA Dealing processes)

Responsibilities:

• Oversee the compliance policy framework including making changes and updates to compliance policies on a periodic basis or as required.
• Manage the compliance training schedule and systems, including: (i) issuing training as per the ongoing firm rollout schedule; (ii) reviewing, evaluating and enhancing compliance training content; and (iii) monitor and report on overdue training including escalating to relevant stakeholders.
• Deliver face-to-face training including Compliance inductions and working with the Compliance Advisory team to deliver ad-hoc training as and when required.
• Work with stakeholders to draft and issue compliance communications, as required, which may either be firm wide or targeted to certain subjects.
• Develop the firm’s Conflicts of Interest (COI) Framework including managing compliance processes.
• Develop the firm’s Personal Account Dealing (PAD) Framework including managing compliance processes (including oversight of the PAD tool).
• Maintain departmental registers and schedules, e.g., Breaches Registers, COI Registers, Complaints registers.
• Prepare Management Information reports as relevant to areas of responsibility.
• Supporting the Compliance Function in responding to ad-hoc requests.

Skills & Experience:

Mandatory:

• Experience of working within a UK regulated environment e.g. SMCR, MIFID, MAR.
• Experience with drafting compliance policies and procedures.
• Experience with drafting training materials.
• Experience in managing conflicts of interest processes.
• Excellent presentation skills and attention to detail including ability to provide real time and periodic status updates and reporting as required.
• Excellent interpersonal and communication skills.
• Minimum 5 – 8 years’ experience of working within a regulatory environment.
• Experience of working within a medium sized financial services firm.
• Experience of dealing with various different stakeholders (Front Office, Legal, CoSec, Risk, IT, Finance, HR, etc).

Desirable:

• Experience of working in both a brokerage/ trading firm as well as a large financial institution (investment bank, corporate bank, asset manager, etc).
• Compliance specific industry certifications including those awarded by the ICA or CISI.

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 responsibility for own delivery in a fast pace and high-volume environment. Excels at building relationships, networking and influencing others.

If you’re forging a career in this area and are looking for your next step, get in touch! Marex is fully committed to being an inclusive employer and providing an inclusive and accessible recruitment process for all. We will provide reasonable adjustments to remove any disadvantage to you being considered for this role. We value the differences that a diverse workforce brings to the company. We welcome applications from candidates returning to the workforce. Also, Marex is committed to avoiding circumstances in which the appearance or possibility of conflicts of interest may exist within the hiring process. If you would like to receive any information in a different way or would like us to do anything differently to help you, please include it in your application.