Senior Surveillance Compliance Officer
4 weeks ago
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, serving a broad range of clients, including commodity producers, consumers, traders, banks, hedge funds, and asset managers.
Role Summary
We are seeking a Senior Surveillance Compliance Officer to join our team in London. The successful candidate will be responsible for surveillance and compliance activities across various asset classes, including commodities, listed derivatives, solutions, and FX.
Key Responsibilities
- Contribute to the development of the surveillance framework, incorporating the evolution of Marex Spectron.
- Deputise for the Head of Surveillance and escalate suspicious activity findings to management and regulators.
- Participate in thematic reviews and the annual MARA process, enhancing the control framework.
- Enhance the MI framework to reach a wider audience of senior managers.
- Participate in exchange and regulatory inquiries from a surveillance perspective.
- Supervise communications and trading activity using industry-recognised solutions.
- Ensure compliance with regulatory requirements under the FCA, NFA, AMF, AFM, MAS, and other relevant regulatory bodies.
- Adhere to the operational risk framework and demonstrate the highest level of integrity and conduct.
Requirements
- 10+ years of transferable skills gained in a similar role or organisation.
- Strong team player/leader experience with various stakeholders.
- Strong knowledge of Global Relay, SMARTS Broker, or similar surveillance tools.
- Knowledge of project management and program management would be beneficial.
- Excellent verbal and written communication skills.
- Experience working in a regulated environment and knowledge of risk and compliance requirements.
Competencies
- Collaborative team player with a positive work environment.
- Demonstrates curiosity and resilience in a challenging environment.
- Ability to take high-level responsibility and build relationships with others.
- 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.
- Prioritise customer interests and treat them fairly.
- Observe proper market conduct.
- Deliver good outcomes for retail customers.
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