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 covers four core services: clearing, agency and execution, market making, and hedging and investment solutions. It serves a broad client base including commodity producers, consumers and traders, banks, hedge funds and asset managers, with access to 60 exchanges. Marex has more than 40 offices worldwide and over 2,300 employees across Europe, Asia and the Americas.

The Senior Compliance Officer Central Compliance supports the Head of Central Compliance with the day-to-day operation of the Central Compliance function. The role focuses on and supports key areas that form part of the Central Compliance Function.

• 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) monitoring and reporting on overdue training including escalating to relevant stakeholders.
• Deliver face-to-face training including Compliance inductions and work with the Compliance Advisory team to deliver ad-hoc training as required.
• Draft and issue compliance communications with stakeholders, either firm-wide or targeted to specific 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 relevant to areas of responsibility.
• Support the Compliance Function in responding to ad-hoc requests.

• 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 of experience in a regulatory environment.
• Experience of working within a medium sized financial services firm.
• Experience of dealing with various stakeholders (Front Office, Legal, CoSec, Risk, IT, Finance, HR, etc).

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

• Collaborative team player, approachable, self-sufficient and able to influence 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-paced, 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 committed to an inclusive recruitment process and will provide reasonable adjustments to remove any disadvantage in being considered for this role. We value a diverse workforce and welcome applications from candidates returning to the workforce.