Marex

Compliance Officer, Broker-Dealer Advisor (Equities and Options) - VN2750

New York, NY

Sponsorship not specified$150k-$185kDetected 46 days ago

CommunicationCollaborationAdaptability

About the role

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.

Support the Head of U.S. Broker-Dealer Compliance.
Provide compliance advisory support to front office teams across day-to-day business activities.
Collaborate to ensure Compliance Calendar deadlines are achieved.
Self-starter with an ability to prioritize and manage multiple deliverables from beginning to completion.
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.

To report any breaches of policy to Compliance and/ or your supervisor as required.
To provide input to risk management processes, as required.
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.

Such guidance is tailored to resolving issues with consideration to regulatory requirements, regulatory and firm risk, and industry best practices.
Marex has unique access across markets with significant share globally both on and off exchange.
In the ever-evolving financial landscape, Compliance has become increasingly complex.
Compliance and Compliance Officers play a crucial role in ensuring that all activities are conducted in accordance with the law.
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.

Competencies Demonstrate 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.
Strategic collaborator with insight and agility, able to anticipate future challenges, ensuring operational effectiveness.
Bachelor's Degree in Finance, Economics, Business, or other related field is required (JD or other graduate degree desired).
Experienced with equity options.
Experienced in U.S. Broker-Dealer Regulatory matters.
Previous Compliance experience within financial services.
Ability to work in a matrix reporting organization.
Excellent verbal and written communication skills.
Experience working in a regulated environment and knowledge of the risk and compliance requirements associated with this.

$150,000 to $185,000 per year base salary and eligible for discretionary bonus.
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.

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.

Marex is fully committed to the elimination of unlawful or unfair discrimination and values the differences that a diverse workforce brings to the company.
We are an equal opportunity employer.

This listing is sourced directly from Marex's careers page and normalized into a canonical job model.