Head of Sox

London, GB Full-Time

**About Marex**

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. It listed on Nasdaq Global Select Market in April 2024. With more than 35 offices in Europe, US and APAC, it has unique access across markets with significant share globally both on and off exchange. The depth of knowledge amongst its teams and divisions provides its customers with clear advantage, and 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**

The Head of SOX Compliance to oversee and manage all aspects of our Sarbanes-Oxley (SOX) compliance at Marex. This role is critical in ensuring the firm adheres to the necessary internal controls and financial reporting requirements mandated under SOX, while also driving improvements in internal control processes. You will lead a team responsible for managing the end-to-end SOX compliance process, ensuring that controls are designed, implemented, and operating effectively. This includes independent control testing and maintenance of the process flow documentation.

This is an excellent opportunity for someone with a strong background in internal controls, financial reporting, and audit processes who is looking to take on a leadership role in a dynamic and growing environment.

**Overall responsibilities**:
**Leadership and Collaboration**:
Lead a team of SOX compliance professionals (in the UK and US), providing coaching, mentoring, and performance management to ensure effective execution of compliance initiatives.
Build strong relationships with key stakeholders, including senior management, internal audit, external auditors, and business unit leaders, to foster a culture of compliance.
Act as a trusted advisor to senior management on SOX-related matters, providing recommendations on control enhancements and compliance strategy.

**SOX Compliance Oversight**:
Lead the SOX compliance program, ensuring adherence to all relevant internal control requirements as per the Sarbanes-Oxley Act (Section 404) for financial reporting and internal controls.
Develop and execute the annual SOX compliance plan, ensuring timely execution of assessments and reporting.

**Internal Controls Management**:
Oversee the design, implementation, and testing of internal controls over financial reporting (ICFR) across the organization, ensuring they are effective and efficient.
Identify and evaluate control gaps, propose solutions, and work with cross-functional teams to remediate issues.

**Risk Assessment and Process Improvements**:
Lead the risk assessment process to identify financial and operational risks, ensuring appropriate controls are in place to mitigate these risks.
Drive continuous improvement in internal control processes, working closely with business units to streamline operations without compromising control effectiveness.

**Coordination with External Auditors**:
Serve as the primary point of contact with external auditors on SOX-related matters. Coordinate the annual SOX audit, ensuring that all documentation, testing, and remediation efforts are completed on time and meet audit requirements.
Assist in the preparation for the quarterly reviews and annual audits, providing supporting documentation and addressing auditor queries.

**Training & Awareness**:
Provide training and guidance to key business stakeholders on SOX compliance and internal controls best practices.
Promote a strong culture of compliance and control awareness throughout the organization.

**SOX Reporting & Documentation**:
Ensure thorough documentation of internal controls, processes, and testing procedures. Prepare and present detailed SOX compliance reports to senior management and the Audit Committee, highlighting significant findings and any necessary corrective actions.

**Cross-Functional Collaboration**:

- Work closely with finance, IT, legal, and operational teams to ensure that internal controls are aligned with business objectives and regulatory requirements.
- Collaborate with the CFO, CRO, and other senior leaders to drive the strategic direction of SOX compliance efforts.
- Ensuring compliance with the company’s regulatory requirements under the FCA, NFA, AMF, AFM, MAS and any other appropriate regulatory body.
- Adhere to the operational risk framework for your role ensuring that all regulatory or company determined parameters are complied with.
- Role model for demonstrating highest level standards of integrity and conduct and reflecting Company Values.
- At all times complying with the FCA’s Code of Conduct and Marex’s Code of Conduct
- To ensure that you are 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
- To repor