Senior Compliance Officer Fixed Income Advisory

Job description

Diversified.

Resilient.

Dynamic.

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

The Group provides comprehensive breadth and depth of coverage across four core services: Market Making, Clearing, Hedging and Investment Solutions and Agency and Execution.

It has a major franchise in many major metals, energy and agricultural products, executing around 50 million trades and clearing 205 million contracts in 2022.

The Group provides access to the world's major commodity markets, covering a broad range of clients that include some of the largest commodity producers, consumers and traders, banks, hedge funds and asset managers.

With more than 35 offices around the globe, and over 2,300 dedicated people enabling access to exchanges and technology-powered services.

For more information visit www.marex.com (http://www.marex.com/)

Purpose of Role:

The Senior Compliance Officer – Fixed Income Advisory will provide compliance advisory services primarily for Fixed Income securities, including corporate bonds, convertible bonds, agency bonds, municipal bonds, and US Treasuries as well as providing compliance advisory services regarding various other regulatory reporting requirements, including TRACE and RTRS reporting.

The position will primarily focus on providing real-time compliance advisory services to the Marex Capital Markets Inc.

(“MCMI”) fixed income business unit(s).

Such guidance will be tailored to resolving issues with consideration to regulatory requirements, regulatory and firm risk and industry best practices.

In addition, this individual will be responsible for advising in the individuals within the various Marex Business lines from a Compliance perspective.

Marex 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.

In the ever-evolving financial landscape, Compliance has become increasingly complex.

Marex must navigate a wide range of regulatory requirements to maintain licenses and protect Marex's reputation.

Compliance and Compliance Officers play a crucial role in ensuring that all activities are conducted in accordance with the law.

Compliance Officers monitor transactions, conduct regular audits, train employees on regulatory requirements, and implement policies and procedures to minimize non-compliance risks.

Compliance efforts are instrumental in fostering a compliant culture within Marex and ensuring that all employees understand their responsibilities.

Furthermore, Compliance is a bridge between Marex and regulatory authorities.

Compliance is responsible for responding to inquiries, providing necessary documentation, and cooperating with regulatory examinations and investigations.

This collaboration is essential in maintaining a healthy and transparent relationship between Marex and regulatory bodies.

Responsibilities:

Proactive in implementing Annual Compliance Plan in line with below responsibilities:


+ Provide Compliance Advisory services to US Broker Dealer business lines.

+ Complete or assist in completing US Broker Dealer related regulatory inquiries.

+ Complete or assist in completing US Broker Dealer BCAC (Business Change Approval Committee ()guidance for management review

+ Manage US Broker Dealer Business Line management relationships.

Collaborate to ensure Americas Compliance Calendar deadlines are achieved.

+ Work with business partners (i.e., Surveillance, IT, Operations etc.) to develop and enhance systems, tools, reports, and processes to monitor business activities.

+ Serve as a subject matter expert on products, regulatory reporting, and broker-dealer operations by maintaining proficient knowledge of applicable functions.

+ Provide regulatory and compliance advice to business partners about complex sales and trading issues.

+ Create or assist in developing US Broker Policies and Procedures and Written Supervisory Procedures.

+ Provide Compliance Advisory services for US Broker Trade Surveillance process.

+ Provide Compliance Advisory services for US Broker Regulatory Reporting process.

+ Ensuring compliance with the company's regulatory requirements under the SEC, FINRA, MSRB, and other regulatory rules and regulations.

+ 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 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 report any breaches of policy to Compliance and/ or your supervisor as require.

+ To escalate risk events immediately.

+ To provide input to risk management processes, as required.


The Company may require you to carry out other duties from time to time.

Competencies, Skills and Experience:

Competencies


+ Have a positive, hands-on, “can-do” attitude.

+ Excellent verbal and written communication skills.

+ Critical thinker, proactive and creative.

+ Identify, analyse and address compliance matters.

+ Excellent verbal and written communication skills.

+ Highly organized, strong attention to detail.

+ Ability to independently identify and resolve issues.

+ Ability to work and research issues with minimal oversight.

+ Strategic collaborator with insight and agility, able to anticipate future challenges, ensuring operational effectiveness.

Skills and Experience


+ Ten (10+) plus years of securities advisory experience supporting fixed income.

Knowledge of broker-dealer activities and requirements.

+ Bachelor's Degree in Finance, Economics, Business, or other related field is preferred.

+ Excellent knowledge of applicable securities laws, rules and regulations with the ability to assess firm impact.

Specifically, SEC, FINRA, MSRB, and other regulatory organizations.

+ Excellent understanding of U.S. securities regulations, trade reporting obligations, and trading practices within fixed income.

+ Ability to work on multiple projects in a fast-paced environment.

+ Ability to project confidence and professionalism in dealings with senior business personnel.

+ Ability to make, support and defend difficult and complex regulatory/compliance decisions in a fast-paced and high-pressured environment.

+ Ability to work on multiple projects in a fast-paced environment.

+ Comfortable working both independently and in a team environment.

+ Quick learner and self-starter, with the ability to manage multiple tasks simultaneously with minimal supervision.

+ Experience working in a regulated environment and knowledge of the risk and compliance requirements associated with this.

Salary Range: $150,000 to $225,000 per year base salary and eligible for discretionary bonus.

Marex Benefits for 2025 (https://www.marex.com/usa-benefits-at-a-glance/)

Company Values:

Acting as a role model for the values of the Company:

Respect

– Clients are at the heart of our business, with superior execution and superb client service the foundation of the firm.

We respect our clients and always treat them fairly.

Integrity
– Doing business the right way is the only way.

We hold ourselves to a high ethical standard in everything we do – our clients expect this and we demand it of ourselves.

Collaborative
– We work in teams – open and direct communication and the willingness to work hard and collaboratively are the basis for effective teamwork.

Working well with others is necessary for us to succeed at what we do.

Developing our People
– Our people are the basis of our competitive advantage.

We look to “grow our own” and make Marex the place ambitious, hardworking, talented people choose to build their careers.

Adaptable and Nimble
– Our size and flexibility is an advantage.

We are big enough to support our client's various needs, and adaptable and nimble enough to respond quickly to changing conditions or requirements.

A non-bureaucratic, but well controlled environment fosters initiative as well as employee satisfaction.

Marex is fully committed to the elimination of unlawful or unfair discrimination and values the differences that a diverse workforce brings to the company.

We are an equal opportunity employer.

All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability status, protected veteran status, or any other characteristic protected by the law.

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Required Skill Profession

Other General