Financial Markets Surveillance Specialist

5 days ago

London, Greater London, United Kingdom Marex Full time

Company Overview


Marex Group plc is a global financial services platform that provides essential liquidity, market access, and infrastructure services to clients in various markets. With over 35 offices worldwide, the company offers technology-led services to major exchanges, order-flow management, and award-winning data, insights, and analytics.


About the Role


We are seeking a Financial Markets Surveillance Specialist to focus on Trade Surveillance across various asset classes. This role offers an opportunity to gain exposure to a wider range of compliance activities at a leading commodity broking company. The successful candidate will work with listed activity in Nasdaq SMARTS and assist in the wider Surveillance space.


Key Responsibilities



  • Conducting T+1 Trade Surveillance in Nasdaq SMARTS;
  • Escalating suspicious activity findings to management and reporting to regulators;
  • Ensuring compliance with regulatory requirements under the FCA, NFA, AMF, AFM, MAS, and other relevant bodies;
  • Adhering to the operational risk framework for the role;
  • Being a role model for demonstrating integrity and conduct, reflecting Company Values;
  • Complying with the FCA's Code of Conduct and Marex's Code of Conduct;
  • Reporting breaches of policy to Compliance and/or the supervisor as required;
  • Escalating risk events immediately;
  • Providing input to risk management processes;

Required Competencies



  • Strong knowledge of Trade Surveillance, MAR scenarios, and vendors, specifically Nasdaq SMARTS;
  • A collaborative team player, approachable, and self-efficient;
  • Demonstrating curiosity;
  • Resilience in a challenging, fast-paced environment;
  • Ability to take high-level responsibility in a fast-paced and high-volume environment;
  • Excellent relationship-building, networking, and influencing skills;
  • Strategic collaboration with insight and agility;

Ideal Candidate Profile



  • 5+ years of transferable skills gained in a similar role/organisation;
  • Strong team player experience with various stakeholders;
  • Strong Surveillance knowledge, including regulation and tools used;
  • Excellent verbal and written communication skills;
  • Experience working in a regulated environment and knowledge of risk and compliance requirements;

Compensation & Benefits


The estimated salary for this role is £60,000 - £80,000 per annum, depending on experience. Additionally, we offer a comprehensive benefits package, including health insurance, retirement savings plan, and paid time off.


Company Values



  • Respect: Clients are at the heart of our business, with superior execution and superb client service;
  • Integrity: Doing business the right way is the only way;
  • Collaborative: Working in teams and communicating openly;
  • Developing our People: Growing our own talent and making Marex a great place to build a career;
  • Adaptable and Nimble: Responding quickly to changing conditions or requirements.

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