Senior Compliance Officer - Trade Surveillance - VN2849

Purpose of Role

The role of Surveillance Compliance Officer at Marex is to provide Trade Surveillance, E-communications, and Voice review services to US Broker Dealers (BD) and FCM (Futures) business lines. The primary focus is on Trade Surveillance across various asset classes such as Cash Equity, Fixed Income, Commodities, and Derivatives (Futures, Options, Swaps) on multiple exchanges, trading platforms, and venues.

Responsibilities

• 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
• Review alerts with due consideration in a timely fashion, maintaining queues within guidelines
• 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
• Test trade data and OMS/EMS systems to ensure the quality and completeness of data being input to the Surveillance tools
• Actively suggest 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, and document UAT Review of new scenarios
• 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
• Model for demonstrating highest level standards of integrity and conduct and reflecting Company Values
• Carry out other duties 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: 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

Pay

Salary Range: $125,000 to $175,000 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