Senior Compliance Assurance & Investigations Officer (VN2806)

To support the Head of Compliance Assurance by leading and/or managing confidential investigations, including whistleblowing events and the delivery of the Compliance Assurance programme by leading reviews and Compliance risk assessments.

Responsibilities

• Lead, plan and/or manage complex investigations.
• Ensure all investigations adhere to the relevant legal frameworks, company policies and whistleblowing rules.
• This will include triaging and investigating whistleblowing reports, obtaining, reviewing and analysing evidence and interviewing witnesses.
• Prepare detailed, high-quality investigation reports with clear findings and recommendations for management.
• Lead risk-based desk and thematic reviews as per the annual Compliance Assurance Plan, including scoping, testing, reporting and communicating findings to senior stakeholders.
• Ensure timely delivery of high quality and value adding testing reports.
• Lead Compliance Risk Assessment rollouts and annual refreshes globally to report on the regulatory risks and controls in place across Marex entities.
• Assist with the production of the Annual Compliance Assurance Plan.
• Validate remediation actions stemming from assurance work, to ensure effective completion.
• Build strong and collaborative working relationships within Compliance globally and support the regions with Risk Assessment methodology and Assurance activities.
• Support the Head of Compliance Assurance and wider Compliance team by undertaking ad‑hoc compliance‑related activities such as regulatory information requests, investigations, or incident‑related root cause analysis.
• Collaborate with key stakeholders in the business and risk & control functions for integrated and consistent risks assessments approach.
• Coach, mentor and develop junior staff.
• Identify industry best practice and share insights with the rest of the team.

Skills and Experience

• Must be a qualified solicitor with experience of investigations in UK regulated financial services.
• Extensive experience working in an Investigations, Compliance Monitoring/Assurance, Advisory or Audit role (10 years+).
• Broad knowledge of compliance regulation, compliance risks assessments methodology and assurance activities.
• In depth knowledge of market abuse regulation, risks and surveillance would be an advantage.
• Highly skilled influencer, adept at relationship‑building.
• Ability to handle confidential, complex matters ensuring whistleblowing regulations are adhered to at all times.
• Proactive problem‑solver, self‑motivated and resilient in a fast‑paced environment.
• Ability, patience and enthusiasm to coach, mentor and develop junior staff.
• Able to multi‑task, prioritize and deliver high quality results with tight deadlines.
• Ability to navigate a complex organisation.
• Excellent written, verbal and interpersonal skills.
• Proficient in Excel and Word, and experience in use of IT systems and databases.
• Knowledge of Structured Products, Exchange Traded Derivatives, OTC Derivatives would be beneficial but not essential.
• Experience or interest in data, analytics and AI beneficial.

Competencies

• A collaborative team player, approachable, self‑efficient and influences a positive work environment.
• Demonstrates curiosity.
• 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

• 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.
• Act to deliver good outcomes for retail customers.

Company Values

• Be collaborative - by working together across the organisation, we foster teamwork, can better respond to challenges and successfully deliver for our clients.
• Act with integrity - we pride ourselves on our honesty and high ethical standards.
• Be adaptable and entrepreneurial - we embrace change as markets evolve to constantly increase our efficiency and create innovative solutions for our clients.
• Be respectful - how we treat each other, and our clients says everything about who we are.
• Nurture talent - we aim to grow our own talent and make Marex the place ambitious, hardworking and talented people choose to build their career.

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.