Surveillance Compliance Officer

4 weeks 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 company offers a comprehensive range of services, including market making, clearing, hedging, and investment solutions, as well as agency and execution services. 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 some of the largest commodity producers, consumers, and traders, banks, hedge funds, and asset managers.

Role Summary

Marex Spectron is seeking a Surveillance Compliance Officer to join its team in a global location. The role will primarily focus on surveillance (trade activity and communications) across a range of asset classes, including cash equity, fixed income, FX, commodities, listed derivatives, structured products, and swaps, on multiple exchanges, trading platforms, and venues.

Key Responsibilities

  • Monitor trading activity using industry-recognized systems and solutions.
  • Investigate and dispose of market abuse and communication surveillance alerts and reports in a timely and accurate manner.
  • Conduct reviews and analysis of trading activity to identify potentially suspicious activity and behavior/patterns.
  • Identify and escalate potential suspicious orders, trades, and communications or any other suspicious activity to the relevant internal stakeholders/Senior Management in accordance with Firm policies and procedures.
  • Ensure escalation results, supporting documents, and findings are documented, recorded, and reported to relevant stakeholders and management.
  • Contribute to the continuous enhancements and improvement of the effectiveness and efficiency of the Surveillance system, solutions, and processes.
  • Participate in new alerts implementation and calibration testing for new and existing alert types.
  • Participate in and assist with requests for information from regulators, exchanges, and external counterparties in exchange/regulatory inquiries from a surveillance perspective.
  • Share industry/market abuse knowledge with the wider Surveillance team.
  • Participate in other surveillance projects and work as required by the Head of Surveillance/and or the Head of Compliance.

Requirements

  • Minimum of 3 years of experience working in a financial market-related Surveillance role with a good understanding of Market Abuse rules, regulations, obligations, and expectations.
  • Experience of compliance monitoring of trading desks is desirable.
  • Demonstrable experience working with Trade Surveillance systems and Alerts.
  • Fluency in English is a prerequisite for the role.
  • Good understanding and knowledge of financial markets, trading, and financial products.
  • Excellent data analysis and interpretation skills.
  • Ability to draft reports in a concise, professional, and succinct manner with good attention to detail and accuracy.
  • A strong understanding of Market Abuse and Conduct Rules and expectations within a financial regulatory environment.
  • Ability to communicate clearly and effectively and to adapt quickly to new environments, situations, challenges, processes, and tasks.
  • Capacity to analyze issues, behaviors, and patterns and to synthesize and communicate findings and outcomes in an effective manner.
  • Experienced in dealing with exchanges and regulators.
  • Strong team player, experience of dealing with a variety of stakeholders.
  • Knowledge of Global Relay, SMARTS Broker, BTCA, or equivalent surveillance tools.
  • Educated to master level (business school/university) in a related subject.

Competencies

  • Excellent verbal and written communication skills.
  • A collaborative team player, approachable, self-efficient, and influences a positive work environment.
  • Demonstrates curiosity.
  • Resilient in a challenging, fast-paced environment.
  • Excels at building relationships, networking, and influencing others.
  • Strategic collaborator with insight and agility, able to anticipate future challenges, ensuring operational effectiveness.

Conduct Rules

You must:

  • Act with integrity.
  • Act with due skill, care, and diligence.
  • Be open and cooperative with the FCA, the PRA, and other regulators.
  • Paying due regard to the interests of customers and treat them fairly.
  • Observe proper standards of market conduct.
  • Act to deliver good outcomes for retail customers.

Marex Spectron is fully committed to the elimination of unlawful or unfair discrimination and values the differences that a diverse workforce brings to the company.

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