Head of Compliance Assurance

2 weeks ago

London, United Kingdom Marex Full time

Marex is a diversified global financial services platform, providing essential liquidity, market access and infrastructure services to clients in the commodities, energy and financial markets.

The Group provides comprehensive coverage across five core services: Market Making, Execution & Clearing, Hedging & Investment Solutions, Price Discovery and Data & Advisory. It has a leading franchise in many major metals, energy and agricultural products, executing around 38 million trades and clearing over 193 million contracts in 2021. 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. Marex maintains a strong balance sheet with prudent capital and liquidity positions and has an investment grade credit rating.

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 29 offices worldwide, the Group has over 1,600 employees across Europe, Asia and the Americas.

**Role Summary**

Lead a comprehensive risk-based Compliance Assurance programme, to provide the Group Head of Compliance and management with an independent assessment of the firm's control environment adequacy and effectiveness to comply with applicable regulations.

**Responsibilities**
- Lead the annual Compliance Risk Assessments process which reports on the regulatory risks and control environment across the different Marex businesses.
- Build strong and collaborative working relationships within Compliance globally and support the regions with Risk Assessment methodology and Assurance activities.
- Set out an annual Compliance Assurance Reviews programs driven by the Compliance Risk Assessments.
- Ensure delivery of timely and impactful thematic and targeted assurance activities, managing a team of two direct reports.
- Track, monitor and report on remedial and enhancements actions stemming from assurance reviews.
- Work alongside Compliance Advisory and Central Compliance, to ensure business and regulatory developments and industry best practices are identified and factored into the ongoing assurance activities.
- Provide key stakeholders with regular reporting on assurance activities undertaken, including key
- findings and recommendations.
- Support the Group Head Compliance by undertaking ad-hoc compliance related activities such as regulatory requests, investigations etc.
- Collaborate with key stakeholders in the business and risk & control functions for integrated and consistent risks assessments approach.

**Skills and Experience**
- Minimum 8 years' experience working in a Compliance Monitoring/Assurance, Advisory or Audit role within a UK regulated financial institution, including few years' experience in managing a Compliance Assurance programme.
- Broad knowledge of compliance regulation and in-depth understanding of compliance risks, assessments methodology and assurance activities.
- Highly skilled influencer, adept at relationship-building.
- Knowledge of various assets classes including Structured Products, Exchange Traded Derivatives, OTC Derivatives would be beneficial but not essential.
- Proactive problem-solver, self-motivated and resilient in a fast-paced environment.
- Able to multi-task, prioritize and manage people to deliver high quality results with tight deadlines.
- Excellent written, verbal and interpersonal skills.
- Marex is fully committed to the elimination of unlawful or unfair discrimination and values the differences that a diverse workforce brings to the company._
- #LI-MH1_

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