Surveillance Compliance Officer

2 months ago

London, Greater London, United Kingdom Marex Spectron Full time

About Marex Spectron

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

The Group offers a comprehensive range of services, including Market Making, Clearing, Hedging, and Investment Solutions, as well as Agency and Execution. With a major franchise in many major metals, energy, and agricultural products, Marex Spectron executes around 50 million trades and clears 205 million contracts annually.

The company provides access to the world's major commodity markets, covering a broad range of clients, including commodity producers, consumers, traders, banks, hedge funds, and asset managers.

Role Summary

Marex Spectron is seeking a Surveillance Compliance Officer to join its team in either Paris or London. The successful candidate will be responsible for monitoring trading activity, investigating market abuse and communication surveillance alerts, and conducting reviews and analysis of trading activity to identify potentially suspicious behavior.

Key Responsibilities

  • Monitor trading activity using industry-recognized systems and solutions.
  • Investigate and dispose of market abuse and communication surveillance alerts in a timely and accurate manner.
  • Conduct reviews and analysis of trading activity to identify potentially suspicious behavior.
  • Escalate potential suspicious orders, trades, and communications to relevant internal stakeholders and senior management.
  • Document and report findings to relevant stakeholders and management.
  • Contribute to the continuous enhancement and improvement of the Surveillance system, solutions, and processes.
  • Participate in new alerts implementation and calibration testing.
  • Assist in responding to regulator inquiries and requests for information.

Requirements

  • Minimum 3 years of experience in a financial market-related Surveillance role with a good understanding of Market Abuse rules and regulations.
  • Experience in compliance monitoring of trading desks is desirable.
  • Demonstrable experience working with Trade Surveillance systems and alerts.
  • Fluency in French and English is a prerequisite for the role.
  • Good understanding of financial markets, trading, and financial products.
  • Excellent data analysis and interpretation skills.
  • Ability to draft reports in a concise and professional manner.
  • Strong understanding of Market Abuse and Conduct Rules.
  • Ability to communicate effectively and adapt quickly to new environments.

Competencies

  • Excellent verbal and written communication skills.
  • Collaborative team player with a positive attitude.
  • Demonstrates curiosity and resilience in a fast-paced environment.
  • Strategic collaborator with insight and agility.

Conduct Rules

You must:

  • Act with integrity.
  • Act with due skill, care, and diligence.
  • Be open and cooperative with regulators.
  • Prioritize customer interests and treat them fairly.
  • Observe proper standards of market conduct.
  • Deliver good outcomes for retail customers.

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