Testing and Monitoring Officer (VN2386)

About the role

To support the Head of Compliance Assurance and the Head of Compliance, for the Americas as well as the Global Head of Compliance Assurance. The role requires the individual lead reviews to verify the adequacy and effectiveness of controls in place to ensure the Firm follows applicable Americas based rules and regulations and Marex policies and procedures.

Marex has unique access across markets with significant share globally both on and off exchanges. 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. The U.S. compliance department has several departments made up of business advisory roles, registrations, training, policies, procedures, and surveillance that all support three different areas, Marex Capital Markets Inc. a futures commission merchant and a U.S. registered broker-dealer, as well as swap dealer activities for Marex Derivatives Inc. and Marex Securities Products, Inc.

Responsibilities

• Lead risk-based reviews in alignment with the Annual Compliance Assurance Plan, including preparing scope documents, developing test scripts and work papers to document reviews, and producing reports on findings.
• Design and execute test scripts to collect and analyze data from multiple departments to support compliance reviews and evidence findings.
• Validate remediation actions resulting from reviews to ensure effective resolution.
• Facilitate the Compliance Risk Assessment process, reporting on regulatory risks and evaluating existing controls.
• Foster strong global collaborative within the Compliance function and provide regional support on risk assessment methodology and assurance activities.
• Assist with ad-hoc compliance tasks, including regulatory information requests, investigations, and root cause analysis of incidents.
• Collaborate with business units and risk/control functions to ensure an integrated and consistent approach to risk assessment.
• Deliver timely high-quality testing reports, ensuring they provide actionable insights and add value.