Senior Surveillance Compliance Officer

2 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. 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 has a unique access across markets, with significant share globally both on and off exchange. Its technology-led service provides access to all major exchanges, order-flow management via screen, voice, and DMA, plus award-winning data, insights, and analytics.

Role Summary

We are seeking a Senior Surveillance Compliance Officer to join our team in London. The role focuses on Surveillance (Trade and Comms) across a range of asset classes, including Commodities, Listed Derivatives, Solutions/Structured products, FX, and Prime Services. The successful candidate will act as deputy to the Head of Surveillance and help develop the function as Marex Spectron continues to evolve.

Key Responsibilities

  • Contribute to the development of the Surveillance framework, incorporating the evolution of Marex Spectron.
  • Deputising for the Head of Surveillance.
  • Escalating any suspicious activity findings to management and reporting to regulators.
  • Participating in thematic reviews and the annual MARA process, factoring findings into enhancing the control framework.
  • Enhancing the MI framework to reach a wider audience of senior managers.
  • Participating in exchange/regulatory inquiries from a surveillance perspective.
  • Supervising communications/trading activity using industry-recognised solutions (SMARTS/Global Relay).
  • Ensuring compliance with regulatory requirements under the FCA, NFA, AMF, AFM, MAS, and other relevant regulatory bodies.
  • Adhering to the operational risk framework for your role, ensuring compliance with regulatory or company-determined parameters.
  • Role modelling highest-level standards of integrity and conduct, reflecting Company Values.
  • Complying with the FCA's Code of Conduct and Marex Spectron's Code of Conduct.
  • Ensuring awareness of and adherence to internal policies related to your role or activities.
  • Reporting breaches of policy to Compliance and/or your supervisor as required.
  • Escalating risk events immediately.
  • Providing input to risk management processes as required.

Requirements

  • 10+ years of transferable skills gained in a similar role/organisation.
  • Strong team player/leader, experience of dealing with a variety of stakeholders.
  • Strong knowledge of Global Relay, SMARTS Broker, or similar surveillance tools is essential.
  • Knowledge of project management and managing a program would be beneficial.
  • Excellent verbal and written communication skills.
  • Experience working in a regulated environment and knowledge of the risk and compliance requirements associated with this.

Competencies

  • A collaborative team player, approachable, self-efficient, and influences a positive work environment.
  • Demonstrates curiosity.
  • Resilient in a challenging, fast-paced environment.
  • Ability to take a high level of responsibility in a fast-paced and high-volume 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 treating them fairly.
  • Observing proper standards of market conduct.
  • Acting to deliver good outcomes for retail customers.

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