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Market Surveillance Compliance Specialist

3 months ago

London, Greater London, United Kingdom Marex Spectron 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 offers a comprehensive range of services, including Market Making, Clearing, Hedging and Investment Solutions, as well as Agency and Execution. With a significant presence in major metals, energy, and agricultural products, Marex executed around 50 million trades and cleared 205 million contracts last year. The Group connects clients to the world's primary commodity markets, serving a diverse clientele that includes leading commodity producers, consumers, traders, banks, hedge funds, and asset managers.

Established in 2005, Marex has a legacy in the commodity markets that spans nearly a century through its subsidiaries. Headquartered in London, the Group operates 36 offices globally and employs over 1,800 professionals across Europe, Asia, and America.

Marex boasts unique market access and holds a significant global share both on and off exchange. The extensive expertise of its teams provides clients with a competitive edge, while its technology-driven services facilitate access to all major exchanges, order-flow management via screen, voice, and DMA, along with award-winning data, insights, and analytics.

Role Overview

Marex SA, the European division of the Marex Group, is seeking a Surveillance Compliance Officer to enhance their team. This role will primarily focus on monitoring trade activities and communications across various asset classes, including Cash Equity, Fixed Income, FX, Commodities, Listed Derivatives, structured products, and Swaps, across multiple exchanges and trading platforms. This position offers an opportunity to engage in a broader spectrum of compliance activities within a leading brokerage firm.

Key Responsibilities

  • Oversee trading activities utilizing industry-standard systems and solutions.
  • Conduct timely and precise investigations into market abuse and communication surveillance alerts and reports.
  • Analyze trading activities to detect potentially suspicious actions or patterns.
  • Identify and escalate any suspicious orders, trades, or communications to relevant internal stakeholders and senior management, adhering to firm policies and procedures.
  • Ensure that escalation results, supporting documents, and findings are thoroughly documented and communicated to relevant parties.
  • Actively contribute to the ongoing enhancement and efficiency of the Surveillance systems and processes.
  • Participate in the implementation and calibration testing of new alerts.
  • Assist in regulatory inquiries and information requests from exchanges and external counterparts from a surveillance perspective.
  • Share industry and market abuse knowledge with the broader Surveillance team.
  • Engage in various surveillance projects as directed by the Head of Surveillance or the Head of Compliance France.

Required Skills and Experience

  • A minimum of 3 years of experience in a financial market-related surveillance role, with a solid understanding of market abuse regulations and obligations.
  • Experience in compliance monitoring of trading desks is preferred.
  • Proven experience with trade surveillance systems and alerts.
  • Fluency in both French and English is essential.
  • Strong knowledge of financial markets, trading, and financial products.
  • Excellent data analysis and interpretation skills.
  • Ability to draft clear and concise reports with a keen attention to detail.
  • A comprehensive understanding of market abuse and conduct rules within a regulatory environment.
  • Strong communication skills, with the ability to adapt to new challenges and processes.
  • Capacity to analyze issues and communicate findings effectively.
  • Experience in interactions with exchanges and regulators.
  • A collaborative team player with experience engaging with diverse stakeholders.
  • Familiarity with surveillance tools such as Global Relay, SMARTS Broker, or BTCA is advantageous.
  • A master's degree in a related field is preferred.

Competencies

  • Exceptional verbal and written communication skills.
  • A collaborative and approachable team player who fosters a positive work environment.
  • Demonstrates curiosity and resilience in a fast-paced setting.
  • Skilled at building relationships and influencing others.
  • Strategic thinker with the ability to anticipate challenges and ensure operational effectiveness.

Conduct Expectations

Candidates must:

  • Act with integrity.
  • Exercise due skill, care, and diligence.
  • Maintain openness and cooperation with regulators.
  • Prioritize customer interests and treat them fairly.
  • Uphold high standards of market conduct.
  • Strive to deliver positive outcomes for retail customers.

Marex is dedicated to promoting diversity and eliminating unlawful discrimination, valuing the unique contributions of a diverse workforce.