Senior Compliance Officer - FCM Advisor

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 theworld'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 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.

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.

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.
• 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.

• 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

• 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.