Compliance Officer

4 weeks ago

Chicago, Illinois, United States Marex Spectron Full time

Marex Spectron 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.

With 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.

For more information visit

Purpose of Role:

The Compliance Officer - FCM Advisor provides compliance advisory services for the FCM (futures commission merchant) entity as well as related IBs (introducing brokers), GIBs (guaranteed income bonds), and swap dealers.

The role primarily focuses on providing real-time compliance advisory services.

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.

Responsibilities:

  • Support the Head of FCM Compliance by providing Compliance Advisory services to FCM (futures commission merchant) business line.
  • Complete or assist in completing US FCM related regulatory inquiries.
  • Complete or assist in completing US FCM BCAC guidance for management review.
  • Collaborate to ensure Compliance Calendar deadlines are achieved.
  • Create or assist in development of US FCM Policies and Procedures and Written Supervisory Procedures.
  • Field FCM Business Questions.
  • Support the Desk Heads with FCM related compliance matters.
  • Ensuring compliance with the company's regulatory requirements under the SEC, FINRA, NFA, CFTC, and other applicable exchanges.

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 required.

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

  • Demonstrate curiosity.
  • Resilience in a challenging, fast-paced environment.
  • Ability to communicate across geography, business function, corporate level, and experience set.
  • Unimpeachable character with integrity that guides all decisions.
  • Self-starter with an ability to prioritize and manage multiple deliverables from beginning to completion.
  • A collaborative team player, approachable, self-efficient, and influences a positive work environment.
  • Strategic collaborator with insight and agility, able to anticipate future challenges, ensuring operational effectiveness.

Skills and Experience

  • At least 5 (five) years of financial industry experience in a legal or compliance role.
  • FCM or FCM Regulatory experience.
  • Ability to work in a matrix reporting organization.
  • Bachelor's degree (JD or other graduate degree desired).
  • Previous Compliance experience, desired.
  • Excellent verbal and written communication skills.
  • Experience working in a regulated environment and knowledge of the risk and compliance requirements associated with this.

Marex's goal is to build and maintain a workforce that is diverse in experience and background but uniform in reflecting our standards of integrity and excellence.

Consequently, our recruiting efforts reflect our desire to attract and retain the best and brightest from all talent pools.

We want to be the employer of choice for prospective candidates.

We encourage applications from candidates returning to the job market.

It is the policy of Marex to ensure equal employment opportunity without discrimination or harassment on the basis of race, color, religion, creed, age, sex, sex stereotype, gender, gender identity or expression, transgender, sexual orientation, national origin, citizenship, disability, marital and civil partnership/union status, pregnancy, veteran or military service status, genetic information, or any other characteristic protected by law.

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