Compliance Officer, Broker-Dealer Advisor (Equities and Options) - VN2750

Purpose of Role

Marex is seeking a Broker-Dealer Compliance Advisor (focusing on Equities and Options) who is a subject matter expert in U.S. Broker-Dealer regulation. The role involves providing compliance advisory services, focusing on Equities and Listed Options trading activities, and knowledge of various regulatory reporting requirements.

Responsibilities

• Support the Head of U.S. Broker-Dealer Compliance.
• Provide compliance advisory support to front office teams across day-to-day business activities.
• Review, draft and enhance U.S. Broker-Dealer Policies and Procedures and Written Supervisory Procedures.
• Review new business initiatives, products, and markets to ensure full compliance before launch through the BCAC management review process.
• Collaborate to ensure Compliance Calendar deadlines are achieved.
• Ensure compliance with the company’s regulatory requirements under U.S. Broker-Dealer regulatory bodies (e.g. FINRA, SEC).
• Adhere to the operational risk framework for your role ensuring that all regulatory or company determined parameters are complied with.
• Model for demonstrating highest level standards of integrity and conduct and reflecting Company Values.
• 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 Compliance and/or your supervisor as required.
• To escalate risk events immediately.
• To provide input to risk management processes, as required.

Competencies, Skills and Experience

• Competencies: Demonstrate curiosity, resilience in a challenging, fast-paced environment, ability to communicate across geography, business function, corporate level, and experience set, unimpeachable character with integrity that guides all decisions, self-starter with an ability to prioritize and manage multiple deliverables from beginning to completion, a collaborative team player, approachable, self-efficient and influences a positive work environment, strategic collaborator with insight and agility, able to anticipate future challenges, ensuring operational effectiveness.
• Skills and Experience: At least eight (8) years of financial industry experience in a legal or compliance role, Bachelor’s Degree in Finance, Economics, Business, or other related field is required (JD or other graduate degree desired), Experienced with equity options, Experienced in U.S. Broker-Dealer Regulatory matters, Previous Compliance experience within financial services, Ability to work in a matrix reporting organization, Previous Compliance experience within financial services, Excellent verbal and written communication skills, Experience working in a regulated environment and knowledge of the risk and compliance requirements associated with this.

Pay

Salary Range: $150,000 to $185,000 per year base salary and eligible for discretionary bonus.

Company Values

• Be collaborative - by working together across the organization, 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. We apply these values when working with all our clients, colleagues and other stakeholders
• Be adaptable and entrepreneurial - we embrace change as markets evolve to constantly increase our efficiency and create innovative solutions for our clients. We are interested in the world around us and inquisitive about understanding the challenges and opportunities our clients face
• Be respectful – how we treat each other, and our clients says everything about who we are. We always act respectfully and treat people fairly in everything we do
• Nurture talent – we aim to grow our own talent and make Marex the place ambitious, hardworking and talented people choose to build their career. This means giving and taking stretch opportunities, taking risks, and committing to career development and support – for ourselves and our teams