Senior Compliance Officer, Trade Surveillance (VN2849)

We need to output HTML fragment with sections: h3 headings for sections present: About the role? The posting includes "Purpose of Role:" which is about role. Could map to "About the role". Responsibilities present. Competencies, Skills and Experience present. Salary Range present. Benefits? The posting includes "Marex Benefits for 2026 Company Values:" but that's not benefits list; it's company values. No explicit benefits list. So we should not create Benefits section unless actual benefits listed. There's no list of benefits. So omit Benefits. Pay section: Salary Range present, so we can have Pay heading with that info. Schedule not present, omit. We need to preserve all substantive info, remove boilerplate like EEO etc. Also remove duplicated lines. We'll need to extract content. Let's parse: Intro paragraph about Marex: "Diversified. Resilient. Dynamic. Marex is a global financial services platform..." That's about company. Could be placed under "About the role"? Actually "About the role" is for role description; but we could put company overview under maybe "About the role" or maybe we could create a section "About Marex"? Not allowed headings list only specific ones: About the role, Responsibilities, Requirements, Qualifications, Skills, Benefits, Pay, Schedule. So we must fit content into those. The intro about Marex could go under About the role (purpose of role). We'll include that. Purpose of Role paragraph: we can include under About the role. Responsibilities: big block. Competencies, Skills and Experience: includes Competencies, Skills And Experience Essential, Desired. We'll put under Skills heading? Actually we have Skills heading allowed. Could put competencies and skills there. Also we could put Requirements/Qualifications? Not present explicitly. Could combine under Skills. Pay: Salary Range. We must not include headings with empty content. We need to use

for each section heading. Use

• for any list of duties/requirements/benefits. So responsibilities list should be
  . Also competencies/skills list maybe bullet. We need to preserve all substantive info; not invent. Let's extract responsibilities list items: They are sentences separated by periods. We'll make each as
  • . Responsibilities text: "Provide Trade Surveillance , E-communications, and Voice review services to US Broker Dealer (BD) and FCM (Futures) business lines" "Review alerts with due consideration in a timely fashion, maintaining queues within guidelines" "Use technical expertise and Surveillance toolset to make determinations on whether or not an alert is a true positive or false positive, closing false positives with proper documentation including explanatory reasoning." "Seek additional clarifying information from Clients/Traders as appropriate." "Escalate potential true positives to management with proper documentation, including rationale." "Notify Employee’s Supervisor or Client of confirmed True Positive." "Follow up on open issues as needed." "Produce metrics on Surveillance reviews to the Head of US Surveillance" "Clearly delineated by date, business line, desk, alert type, client, and trader." "Participate in ongoing improvement of the Surveillance function" "Testing of trade data and OMS/EMS systems to ensure the quality and completeness of data being input to the Surveillance tools" "Actively suggesting potential enhancements that would" "Increase discovery of True Positives." "Reclassify False Negatives to True Positives." "Reduce the quantity of False Positives without decreasing True Positives." "Calibration testing for new and existing scenario." "Documented UAT Review of new scenarios." "Provide Surveillance expertise to BD and FCM Advisory Compliance, adding context and counsel to the objective response." "Communicate and coordinate with colleagues in Compliance and the business to ensure efficacious processes." "Maintain and grow industry knowledge by actively following relevant news events and regulator action." "Other Surveillance services as assigned." "Ensuring 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 complying 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." "The Company may require you to carry out other duties from time to time." We need to split into sensible items; some are run-on. We'll keep as separate items per sentence. Now Competencies, Skills and Experience: Competencies list: - 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 other. - 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 Essential: - Excellent 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 Surveillance experience in a financial markets context. - Experience working in a regulated environment and knowledge of the risk and compliance requirements associated with this. Desired: - Bachelor’s Degree in Finance, Economics, Business, or other related field. - Experience working for a regulated exchange or Regulator. - Experience developing strategic Artificial Intelligent (AHI) solutions for Surveillance or Compliance. - FINRA Series 7,24; NFA Series 3, Swaps Proficiency Long Track. - CAMS Certification We'll combine under Skills heading maybe with subheadings? But we only allowed h3 headings; we could still have paragraphs inside. We'll just list all as
    • . Pay: Salary Range: $125,000 to $195,000 per year base salary and eligible for discretionary bonus. We'll put that in

      . About the role: combine company overview and purpose of role. Let's craft About the role paragraph(s). We'll include company description and purpose. Now ensure we removed boilerplate: EEO statement, company values maybe not needed? The company values list is not benefits; but it's substantive? It's values; but not in allowed headings. Could we include under About the role? Might be okay but it's not about role. However instructions: "Prefer a few substantive sections over many thin ones." We could include company values under About the role as part of description. But it's not strictly about role. Might be okay to include as paragraph. But we should not include duplicated lines. We'll include company values as a paragraph maybe. Now produce HTML. Structure:

      About the role

      ... company overview ... purpose of role ...

      Responsibilities

      • ...
      ...

      Skills

      • ...
      ...

      Pay

      Salary Range: $125,000 to $195,000 per year base salary and eligible for discretionary bonus.

      We must not include extra whitespace? It's fine. Now ensure we didn't miss any substantive info: The "Marex Benefits for 2026 Company Values:" includes values list; we could include that as paragraph under About the role maybe. Let's extract values list: "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." We'll include as paragraph. Now produce final HTML. Check for any repeated lines: Ensure not duplicate. Let's craft About the role paragraph: "Diversified. Resilient. Dynamic. Marex is a global financial services platform, providing essential liquidity, market access and infrastructure services to clients in the energy, commodities and financial markets. The Group provides comprehensive breadth and depth of coverage across four core services: Market Making, Clearing, Hedging and Investment Solutions and Agency and Execution. It has a major franchise in many major metals, energy and agricultural products, executing around 50 million trades and clearing 205 million contracts in 2022. The Group provides access to the world’s major commodity markets, covering a broad range of clients that include some of the largest commodity producers, consumers and traders, banks, hedge funds and asset managers. With more than 35 offices around the globe, and over 2,300 dedicated people enabling access to exchanges and technology-powered services. For more information visit www.marex.com Purpose of Role: Marex is recruiting for a Surveillance Compliance officer to join the team at our New York office. The role will primarily focus on Trade Surveillance (Trade Activity and Communications) across a range of asset classes (Cash Equity, Fixed Income, Commodities, Derivatives (Futures, Options, Swaps)) on multiple exchanges, trading platforms and venues with an opportunity to gain exposure to a wider range of compliance activities at a market-leading firm. Marex has unique access across markets with significant share globally both on and off exchange. The depth of knowledge amongst its teams and divisions provides its customers with clear advantage, and its technology-led service provides access to all major exchanges, order-flow management via screen, voice and DMA, plus award-winning data, insights and analytics. In the ever-evolving financial landscape, Compliance has become increasingly complex. Marex must navigate a wide range of regulatory requirements to maintain licenses and protect Marex’s reputation. Compliance and Compliance Officers play a crucial role in ensuring that all activities are conducted in accordance with the law. Compliance Officers monitor transactions, conduct regular audits, train employees on regulatory requirements, and implement policies and procedures to minimize non-compliance risks. Compliance efforts are instrumental in fostering a compliant culture within Marex and ensuring that all employees understand their responsibilities. Furthermore, Compliance is a bridge between Marex and regulatory authorities. Compliance is responsible for responding to inquiries, providing necessary documentation, and cooperating with regulatory examinations and investigations. This collaboration is essential in maintaining a healthy and transparent relationship between Marex and regulatory bodies." We can split into two paragraphs maybe but one is fine. Now Responsibilities list items: need to ensure each item ends with period. Let's list them exactly as sentences. I'll produce list. Now Skills list: combine all bullet items. Let's list them. Essential skills list items: - Excellent 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 Surveillance experience in a financial markets context. - Experience working in a regulated environment and knowledge of the risk and compliance requirements associated with this. Desired items: - Bachelor’s Degree in Finance, Economics, Business, or other related field. - Experience