Compliance Officer FCM Advisor

3 weeks ago

Chicago, Illinois, United States Marex Services Group, LLC Full time

Marex Services Group, LLC is seeking a highly skilled Compliance Officer FCM Advisor to join our team. As a key member of our compliance team, you will be responsible for providing compliance advisory services for the FCM entity as well as related IBs, GIBs, and swap dealers.

The ideal candidate will have at least 5 years of financial industry experience in a legal or compliance role, with a strong understanding of FCM regulatory requirements. You will be responsible for monitoring transactions, conducting regular audits, training employees on regulatory requirements, and implementing policies and procedures to minimize non-compliance risks.

As a Compliance Officer FCM Advisor, you will be a strategic collaborator with insight and agility, able to anticipate future challenges and ensure operational effectiveness. You will work closely with the Head of FCM Compliance to ensure compliance with the company's regulatory requirements under the SEC, FINRA, NFA, CFTC, and other applicable exchanges.

The successful candidate will have excellent verbal and written communication skills, with the ability to work in a matrix reporting organization. You will be a self-starter with an ability to prioritize and manage multiple deliverables from beginning to completion, and a collaborative team player with a positive work environment.

Key Responsibilities:

  • Support the Head of FCM Compliance by providing Compliance Advisory services to FCM 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.
  • Ensure 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.

Competencies, Skills and Experience:

  • 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.

Requirements:

  • 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 Services Group, LLC is an equal opportunity employer and welcomes applications from diverse candidates. We are committed to creating a workplace that is inclusive and respectful of all employees. If you are a motivated and experienced Compliance Officer FCM Advisor looking for a new challenge, please submit your application.

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