Senior Compliance Officer – FCM Advisor - VN2537

Purpose of Role

Marex is seeking a Senior Compliance Officer – FCM Advisor who will provide compliance advisory services for FCM as well as related Introducing Brokers (IBs), Guaranteed Introducing Broker (GIBs), and Swap Dealers. The role primarily focuses on providing real-time compliance advisory services.

Responsibilities

• Provide FCM compliance advisory support to front office teams across day-to-day business activities.
• Lead preparation and submission of key regulatory filing and manage regulatory relationships and inquires for the US FCM business line.
• Review, draft and enhance US FCM Policies and Procedures and Written Supervisory Procedures.
• Field FCM Business Questions.
• Support the Desk Heads with FCM related compliance matters.
• Review new business initiatives, products, and markets to ensure full compliance before launch through the US FCM BCAC management review process.
• Collaborate to ensure Compliance Calendar deadlines are achieved.
• Ensure compliance with the company’s regulatory requirements under the SEC, FINRA, NFA, CFTC and other applicable exchanges.
• 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 comply with 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 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

• Demonstrable 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
• Excellence in building relationships, networking and influencing others
• 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

• Basic understanding of financial markets.
• Data analysis and interpretation skills.
• Proficiency in Microsoft Office products (Word, Excel, Outlook, etc.).
• Organizational and time-management skills.
• Excellent verbal and written communication skills.
• Existing compliance experience in a financial markets context.
• Bachelor’s Degree in Finance, Economics, Business, or other related field is required.
• Experience working in a regulated environment and knowledge of the risk and compliance requirements associated with this.