Senior Compliance Officer

5 months ago

London, United Kingdom Marex Full time

**About Marex**

Marex is a diversified 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.

Marex was established in 2005 but through its subsidiaries can trace its roots in the commodity markets back almost 100 years. Headquartered in London with 36 offices worldwide, the Group has over 1,800 employees across Europe, Asia and America.

**Role Summary**

Support the Head of Central Compliance in ensuring the Marex Group adheres to and operates within its regulatory requirements, remains within stated Marex risk appetites, maintains good conduct, drives a strong culture and positive customer outcomes.

The role will include participation in the broader Group Compliance management initiatives, review and update of policies and procedures, delivery of training and implementation of controls.

**Overall Responsibilities**
- Manage internal Handbooks, Policies and Procedures for SMCR, as well as change log/registers
- Assist SMFs in maintaining individual Statements of Responsibilities
- Maintaining and managing all SMF documentation, including Job Descriptions, Reasonable Steps, Learning and Development Plans and Handover documents
- Prepare and submit all SMF regulatory filings
- Prepare briefing notes, presentations and reports for senior management consideration in relation to the Senior Managers Regime
- Prepare MI, Board/Local Management Committee and Executive Committee paper/reports in relation to SMR
- Prepare training materials on the SMR
- Support the Head of Central Compliance & Group Head of Compliance in providing guidance, briefings and/or training to SMFs, CPs or other teams, as required
- Monitoring of regulatory developments and proposing changes of systems and controls in response to emerging trends and changes of regulatory rules. Undertaking recordkeeping obligations for SMCR
- Assisting with SMCR related projects to enhance or develop new and existing processes which includes working closely, and providing support, with Group Human Resources
- Maintain departmental registers and schedules, e.g., Exchange Requests Schedule, Regulator Breaches Registers and Fines Schedule
- Assist with Compliance actions in relation to starters, movers and leavers
- Manage Employee Exchange registrations (CME, ICE, EEX, EUREX, EURONEXT, LME)
- Manage NFA Registrations / De-registrations
- Manage Stock Registrations / De-Registrations
- Advise on SMCR & NFA Knowledge & Competence requirements
- Manage FCA returns (Fees & Levies, Error Reporting, Conduct Breaches, Complaints, Firm Details)
- Manage Exchange / Clearing Due Diligence returns (CME, ICE, EEX, Nasdaq, EUREX, EURONEXT, LME, DGCX & LCH)
- Support Compliance Advisory in responding to ad-hoc Exchange Requests

**Company Standard Responsibilities**
- Ensuring compliance with the company's regulatory requirements under the FCA.
- 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 the FCA'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.

**Skills and Experience**
- Experience working in the areas mentioned above.
- Experience working at a regulated firm.
- Experience working in the areas mentioned above.
- Attention to detail.
- Proficient written and oral skills.
- Self-motivated and willing to learn.

**Competencies**
- Skilled at stakeholder management; ability to work closely with multiple internal stakeholders, able to build strong cooperative relationships at all levels.
- Initiative and commitment to excellence - actively and enthusiastically attempt to influence, seek opportunities to originate action, encourage and develop new ideas.
- Ability to think outside the box and provide creative solutions.
- Be able to multi-task, prioritize and work to deadlines in a pressurised environment.
- Strong conduct and culture lens with a focus on good cust

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