Senior Financial Compliance Risk Manager

1 week ago

London, Greater London, United Kingdom Marex Full time
About Marex Group plc

Marex Group plc is a diversified global financial services platform, providing essential liquidity, market access and infrastructure services to clients in the energy, commodities and financial markets. As a leading player in the industry, it offers unique access across markets with significant share globally both on and off exchange.

With over 35 offices in Europe, US and APAC, Marex has established itself as a major player in the global financial landscape. 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

Marex Financial Ltd is seeking an experienced Senior Surveillance Compliance Officer to join its team in London. The successful candidate will be responsible for managing manual OTC coverage, trade reconstruction, and leading on the transition of fixed income/OTC activities onto an automated surveillance solution (Nasdaq SMARTS).

Key Responsibilities
  • Lead on OTC/Fixed Income manual surveillance implementation/enhancement.
  • Manage the transition from current tactical controls to Nasdaq SMARTS.
  • Escalate any suspicious activity findings to management and report to regulators.
  • Participate in thematic reviews and the annual MARA process, incorporating findings into enhancing the OTC/Fixed Income control framework.
  • Conduct trade reconstruction reviews of Fixed Income/OTC activity using Global Relay, Audio platforms, and various Marex data sources.
  • Ensure compliance with regulatory requirements under the FCA, NFA, AMF, AFM, MAS, and other relevant bodies.
Requirements and Skills
  • A minimum of 7 years' experience in a similar role within fixed income or OTC surveillance.
  • Strong surveillance knowledge, including regulation, tools used (Global Relay, SMARTS Broker, or similar), and experience with implementing manual surveillance controls.
  • Knowledge of tactical/manual surveillance and experience transitioning to automated solutions.
  • Excellent verbal and written communication skills.
  • Experience working in a regulated environment and familiarity with associated risk and compliance requirements.
Salary Information

The estimated salary for this position is between £60,000-£80,000 per annum, depending on experience.

  • Risk Governance

    3 days ago

    London, Greater London, United Kingdom Risk & Compliance Platform Full time

    About the CompanyRisk & Compliance Platform is a leading provider of risk and compliance solutions to businesses across various industries. We pride ourselves on delivering high-quality services that meet the needs of our clients.About the RoleWe are currently seeking a highly skilled Risk Governance & Compliance Specialist to join our team. The successful...

  • Compliance Risk Manager

    5 days ago

    London, Greater London, United Kingdom AJ FOX COMPLIANCE Full time

    Compliance Risk Manager RoleAJ FOX COMPLIANCE seeks a seasoned Compliance Risk Manager to lead our risk management endeavors. This position involves collaborating with senior leadership to embed a strong compliance culture, providing expert guidance on regulatory and risk issues, and overseeing policy updates.Key ResponsibilitiesCollaborate with senior...

  • AML/Compliance Risk Manager

    1 week ago

    London, Greater London, United Kingdom Compliance Recruitment Solutions Full time

    Salary: £60,000 - £80,000 per annum, depending on experience.About the JobWe are seeking a Senior Compliance Monitoring Specialist to join our team at Compliance Recruitment Solutions. The ideal candidate will have a strong background in compliance monitoring, with a minimum of 2 years' experience in a Wealth Management or Retail Financial Advice firm.Key...

  • Senior Risk and Compliance Counsel

    1 week ago

    London, Greater London, United Kingdom AJ FOX COMPLIANCE Full time

    About the RoleAJ FOX COMPLIANCE is seeking a highly skilled Senior Risk and Compliance Counsel to join their team in London. This is a unique opportunity for a qualified lawyer to contribute to the management and smooth operation of the firm.The ideal candidate will have 5 years of risk-focused PQE and extensive knowledge of legal/regulatory compliance...

  • Risk Management and Compliance Expert

    4 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    About the Role:We are seeking an experienced AML and Financial Crime Specialist to join our team at Compliance Professionals. The successful candidate will be responsible for managing the financial crime compliance programme, including AML, ABC, Sanctions Compliance, and Criminal Finances Act.Key Responsibilities:Working within the EMEA Financial Crime Team...

  • Compliance Risk Manager

    2 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    At Compliance Professionals, we are seeking a highly skilled and experienced Compliance Risk Manager to join our team. This is an exciting opportunity for a seasoned professional to lead the onboarding of wealth management clients and ensure compliance with regulatory standards.About the RoleThis role involves leading a First Line team responsible for...

  • Compliance Officer

    2 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Job DescriptionA career opportunity has arisen for an experienced Compliance Officer to join our team at Compliance Professionals. The ideal candidate will have a strong background in financial services, preferably in investment and life protection.About the RoleWe are seeking a highly motivated individual to oversee the compliance function within our...

  • Risk Management Professional

    1 week ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Job Description:We are seeking a highly skilled Risk Management Professional to join our team as a Senior Compliance Specialist. This is an excellent opportunity for an experienced professional to work with a reputable banking firm and contribute to the development and implementation of effective compliance monitoring plans.Key Responsibilities:Develop and...

  • Compliance Risk Management Expert

    1 week ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    We are seeking a seasoned Compliance Risk Management Expert to lead our global compliance efforts. Based in the City, our client is a world-leading specialist broker with a reputation for excellence.Job OverviewThe successful candidate will be responsible for managing global regulatory relationships, providing advisory coverage to all business desks...

  • Compliance Risk Management Senior Officer

    3 weeks ago

    London, Greater London, United Kingdom AJ Fox Compliance Full time

    Job DescriptionWe are seeking a highly skilled AML and Compliance Senior Specialist to join our team at AJ Fox Compliance. This role involves conducting thorough AML checks, ensuring compliance with our firm's policies by reviewing documentation and performing risk assessments for new and reopened clients.The ideal candidate will have a strong background in...

  • Compliance Risk Management Senior Officer

    1 month ago

    London, Greater London, United Kingdom AJ Fox Compliance Full time

    Job DescriptionWe're seeking a highly skilled Senior Risk and Compliance Analyst to join our team at AJ Fox Compliance. This is a fantastic opportunity for someone looking to develop their compliance career and gain hands-on experience with a variety of compliance areas, including AML, conflicts management, and other regulatory matters.This diverse and...

  • Senior Financial Crime Manager

    3 weeks ago

    London, Greater London, United Kingdom AJ FOX COMPLIANCE Full time

    **Job Title:** Senior Financial Crime ManagerWe are seeking a seasoned professional to join our AJ Fox Compliance team as a Senior Financial Crime Manager. This role is ideal for someone with expertise in financial crime and AML regulations, looking to contribute to a collaborative environment that promotes best practices.Key Responsibilities:Provide expert...

  • Compliance & Risk Management Professional

    1 week ago

    London, Greater London, United Kingdom Bruin Financial Full time

    Job SummaryBruin Financial is seeking a Compliance & Risk Management Professional to join their team in London. This role will involve providing risk management support to the company's Risk Management department.Responsibilities:Provide risk management support to the Risk Management department, including regulatory reporting.Develop and maintain...

  • Compliance and Risk Analyst

    1 week ago

    London, Greater London, United Kingdom AJ FOX COMPLIANCE Full time

    Job Title: Junior Risk and Compliance AnalystAbout the RoleWe are seeking a highly motivated and enthusiastic individual to join our team as a Junior Risk and Compliance Analyst at AJ FOX Compliance in London.Key ResponsibilitiesSupport fee earners and various business functions in anti-money laundering, sanctions, general conflicts, and risk and compliance...

  • Financial Conduct Risk Manager

    2 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    We are seeking a highly skilled Financial Conduct Risk Manager to join our team at Compliance Professionals. This is an exciting opportunity for someone with extensive experience in market surveillance, who is passionate about ensuring the integrity of financial markets.The ideal candidate will be able to work independently and as part of a team, analyzing...

  • Financial Crime Risk Manager

    1 week ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Compliance Professionals is seeking a Financial Crime Risk Manager to join their team in Kent. The ideal candidate will have a strong background in financial crime risk management and will be responsible for building and maintaining relationships with key stakeholders, recommending enhancements to working practices and procedures, and ensuring suspicious...

  • Compliance Risk Expert

    1 week ago

    London, Greater London, United Kingdom AJ Fox Compliance Full time

    Job SummaryWe are seeking a highly skilled Senior Risk and Compliance Analyst to join our AJ Fox Compliance team. This is an exciting opportunity for someone looking to develop their compliance career and gain hands-on experience with a variety of compliance areas, including Anti-Money Laundering (AML) and conflicts management.The ideal candidate will have a...

  • Compliance Strategic Leader

    4 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Compliance OfficeThe ideal candidate will have demonstrated experience in broking/prime broking and will be responsible for managing global regulatory relationships. They will also be responsible for providing advisory coverage of all business desks globally in conjunction with local Compliance Officers. Additionally, they will oversee global regulatory...

  • Senior Compliance Monitoring Officer

    4 weeks ago

    London, Greater London, United Kingdom Compliance Recruitment Solutions Full time

    Senior Compliance Monitoring Associate RoleWe are seeking a Senior Compliance Monitoring Associate to join our dynamic compliance monitoring team. The ideal candidate will have at least 2 years of experience in compliance monitoring within the wealth management or retail financial advice sectors.Key responsibilities include:Delivering the annual compliance...

  • Senior Compliance Monitoring Associate

    3 weeks ago

    London, Greater London, United Kingdom Compliance Recruitment Solutions Full time

    Senior Compliance Monitoring AssociateWe are seeking a highly skilled Senior Compliance Monitoring Associate to join our collegiate and dynamic compliance Monitoring team. Reporting to the Senior Compliance Assurance Manager, duties will include:Assist in the delivery of the annual compliance monitoring programme by undertaking agreed monitoring activities...