Senior Compliance Officer

2 weeks ago

London, Greater London, United Kingdom Marex Full time

About Marex Financial Ltd

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

Role Summary

The company is searching for a Senior Surveillance Compliance Officer to join their team in London. The role focuses on Surveillance (Trade and Comms) across the Fixed Income, Swaps, and OTC space, with an opportunity to gain exposure to a wider range of compliance activities at a market-leading commodity broking company.

Responsibilities

  • Lead on OTC/Fixed Income manual surveillance implementation/enhancement.
  • Conduct Trade Reconstruction reviews of Fixed Income/OTC activity, using Global Relay, Audio platforms, and various Marex data sources.
  • Ensure compliance with the company's regulatory requirements under the FCA, NFA, AMF, AFM, MAS, and any other relevant regulatory body.
  • Adhere to the operational risk framework for your role ensuring that all regulatory or company-determined parameters are complied with.
  • Be fully aware of and adhere to internal policies that relate to you, your role, or any other activities for which you have any level of responsibility.
  • Report any breaches of policy to Compliance and/or your supervisor as required.
  • Escalate risk events immediately.
  • Provide input to risk management processes, as required.
  • Excels at building relationships, networking, and influencing others.

Requirements

  • 7+ years of immediately transferable skills gained in a similar role within fixed income or in an OTC Surveillance SME/organization.
  • Knowledge of tactical/manual Surveillance and experience of implementing these controls in conjunction with transitioning to an automated surveillance solution.
  • Experience working in a regulated environment and knowledge of the risk and compliance requirements associated with this.

About the Role

The successful candidate will have excellent analytical and problem-solving skills, with the ability to work in a fast-paced environment, managing multiple tasks simultaneously. They must have strong communication and interpersonal skills, with the ability to build effective relationships with colleagues and external stakeholders.

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