Senior Surveillance Compliance Officer

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.

Marex Financial Ltd are searching for a Senior Surveillance Compliance officer to join their team in London. The role focusses on Trade Surveillance for Metals and FX; with an opportunity to gain exposure to a wider range of compliance activities at a market-leading commodity broking company.

Responsibilities

• Conduct T+1 Trade Surveillance in Nasdaq Trade Surveillance (SMARTS) and other tools as required for Metals (primary) and FX (secondary).
• Escalating any suspicious activity findings to management and reporting to regulators.
• Developing the surveillance program through continuous control evaluation and enhancement and development of new controls where new risks emerge or in response to business change initiatives.
• Engaging with the businesses trading Metals and FX to ensure detailed understanding of trade flows, booking models and operating models.
• Identification of trends and patterns that require further evaluation and discussion with Compliance Advisory and/or Business management.
• Alert threshold calibration to ensure the effective and efficient operation of controls covering Metals and FX.
• Collaboration with wider team to ensure two-way knowledge transfer and appropriate cover during absences.
• Ensuring appropriate audit trails and documentation in place to describe work undertaken and decisions reached.
• Ensuring compliance with the company’s regulatory requirements under the FCA, NFA, AMF, AFM, MAS and any other relevant regulatory bodies.
• 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 the FCA’s Code of Conduct and 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 your manager as required

Skills and Experience

• 5+ years* transferable skills gained in a similar role / organisation
• Strong team player, experience of dealing with a variety of stakeholders
• Strong Surveillance knowledge, including regulation, tools used (Nasdaq SMARTS or similar surveillance tools is essential)
• Educated to degree level in a related subject would be beneficial, but not essential
• Experience working in a regulated environment and knowledge of the risk and compliance requirements associated with this.
• Knowledge of programming languages (e.g. VBA, python, etc.) for tactical control development where required beneficial (not essential)

*experience outside of this range will also be considered

• Strong knowledge of Trade Surveillance, MAR scenarios and vendors,
• Knowledge of Nasdaq Trade Surveillance (SMARTS) beneficial
• Excellent verbal and written communication skills
• A collaborative team player, approachable, self-efficient and influences a positive work environment
• Resilient in a challenging, fast-paced environment
• Ability to take a high level of responsibility in a fast pace and high-volume environment
• Excels at building relationships, networking and influencing others
• Strategic collaborator with insight and agility, able to anticipate future challenges, ensuring operational effectiveness

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

Acting as a role model for the values of the Company:

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.

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