Head of Broker Dealer Compliance, Americas and Chief Compliance Officer

About Marex

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 offers comprehensive coverage across four core services: clearing, agency and execution, market making, and hedging and investment solutions. With a leading franchise in major metals, energy, and agricultural products, Marex provides access to 60 exchanges and serves a broad range of clients, including commodity producers, consumers, traders, banks, hedge funds, and asset managers.

Marex operates over 40 offices worldwide, employing more than 2,300 people across Europe, Asia, and the Americas. The company leverages deep market expertise and technology-led services to offer access to all major exchanges, order-flow management via screen, voice, and DMA, as well as award-winning data, insights, and analytics.

Compliance plays a critical role at Marex, ensuring activities adhere to regulatory requirements, protecting the firm’s licenses and reputation. Compliance Officers monitor transactions, conduct audits, train employees, and implement policies to mitigate risks. They also act as a bridge between Marex and regulatory authorities, responding to inquiries, providing documentation, and cooperating with examinations to maintain transparent relationships.

About the Role

The Head of Broker Dealer Compliance is an expert in Broker Dealer regulation, leading a team of compliance officers to provide advisory services for Equities, Fixed Income, Listed Options trading activities, and regulatory reporting requirements. This role focuses on delivering real-time compliance guidance to the Americas Broker Dealer business units, tailored to regulatory requirements, firm risk, and industry best practices. The position also advises individuals across Marex’s business lines from a Compliance perspective.

Responsibilities

• Lead and develop the Americas Broker Dealer Compliance team, overseeing talent management, performance, training, and succession planning.
• Serve as the primary Compliance advisor to U.S. Broker Dealer businesses, providing guidance across Equities, Fixed Income, Listed Options, and related activities.
• Partner with business leaders and desk heads to deliver proactive, risk-based compliance advice and support strategic business initiatives.
• Oversee the firm’s Broker Dealer compliance framework, ensuring adherence to SEC, FINRA, OCC, exchange, and other applicable regulatory requirements.
• Direct compliance oversight of key programs, including trade surveillance, regulatory reporting, employee compliance, and registration-related activities.
• Ensure timely completion of regulatory examinations, inquiries, compliance assessments, governance reviews, and reporting obligations.
• Maintain and enhance Broker Dealer policies, procedures, and Written Supervisory Procedures (WSPs) to address evolving regulatory requirements and business needs.
• Promote a strong culture of compliance, risk awareness, integrity, and ethical conduct while supporting the firm's operational risk management framework.

Requirements

• 10+ years of Broker Dealer Compliance experience with deep expertise in U.S. securities regulations, including SEC, FINRA, OCC, self-regulatory organizations, and applicable exchanges.
• Proven leadership experience with the ability to build, develop, and motivate high-performing teams.
• Strong regulatory judgment and the ability to analyze complex issues, assess risk, and deliver practical, business-focused solutions.
• Exceptional communication and stakeholder management skills, with the ability to influence senior management and front-office leaders.
• Proven ability to make, support, and defend complex compliance decisions in a fast-paced, highly regulated environment.
• Strategic, proactive, and intellectually curious, with the ability to anticipate emerging risks and regulatory developments.
• Collaborative and relationship-oriented, with demonstrated success working across functions, geographies, and levels of the organization.
• High degree of integrity, professionalism, resilience, and accountability, with the ability to manage multiple priorities and deliver results under pressure.

Pay

Salary Range: $290,000 to $335,000 per year, plus eligibility for a discretionary bonus.

Company Values

• Be collaborative: Work together across the organization to foster teamwork and deliver for clients.
• Act with integrity: Uphold honesty and high ethical standards in all interactions with clients, colleagues, and stakeholders.
• Be adaptable and entrepreneurial: Embrace change, innovate, and seek efficiency as markets evolve.
• Be respectful: Treat everyone fairly and respectfully, reflecting the firm’s values in all actions.
• Nurture talent: Grow and support talent, providing stretch opportunities and career development for teams.