Senior Surveillance Compliance Officer

3 weeks ago

London, Greater London, United Kingdom Marex Spectron Full time

About Marex

Marex is a leading global financial services platform, providing comprehensive solutions to clients in the energy, commodities, and financial markets.

The Group offers a range of services, including Market Making, Clearing, Hedging, and Investment Solutions, with a strong presence in major metals, energy, and agricultural products.

Marex has a global footprint, with 36 offices worldwide and over 1,800 employees across Europe, Asia, and America.

The company's unique access to markets and expertise in surveillance and compliance make it an attractive partner for clients seeking to navigate complex regulatory environments.

Role Summary

We are seeking a Senior Surveillance Compliance Officer to join our team in London. The successful candidate will be responsible for leading surveillance and compliance activities across various asset classes, including commodities, listed derivatives, and structured products.

Key Responsibilities

  1. Develop and implement surveillance frameworks to ensure compliance with regulatory requirements.
  2. Deputise for the Head of Surveillance and provide leadership to the team.
  3. Escalate suspicious activity findings to management and report to regulators.
  4. Participate in thematic reviews and the annual MARA process to enhance the control framework.
  5. Enhance the MI framework to provide insights to senior managers.
  6. Participate in exchange and regulatory inquiries from a surveillance perspective.
  7. Supervise communications and trading activity using industry-recognised solutions.
  8. Ensure compliance with regulatory requirements under the FCA, NFA, AMF, AFM, MAS, and other relevant regulatory bodies.
  9. Adhere to the operational risk framework and ensure that all regulatory or company-determined parameters are complied with.
  10. Role model for demonstrating highest level standards of integrity and conduct, reflecting Company Values.
  11. Comply with the FCA's Code of Conduct and Marex's Code of Conduct.
  12. Report any breaches of policy to Compliance and/or your supervisor as required.
  13. Escalate risk events immediately.
  14. Provide input to risk management processes as required.

Requirements

  • 10+ years of transferable skills gained in a similar role or 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 treat them fairly.
  • Observe proper standards of market conduct.
  • Act to deliver good outcomes for retail customers.

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