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Compliance Officer

2 months ago

Chicago, Illinois, United States Marex Services Group, LLC Full time
About the Role

Marex Services Group, LLC is seeking a highly skilled Compliance Officer to join our team. As a key member of our compliance function, you will be responsible for ensuring that our business activities are conducted in accordance with relevant laws and regulations.

Key Responsibilities
  • Track, compile, and submit responses to regulatory inquiries, ensuring timely and accurate completion.
  • Analyze regulatory requests to evaluate initial risk to the firm, regulatory gaps, and business lines involved.
  • Identify regulatory gaps in responses and escalate effectively.
  • Manage regulatory requests and responses, including tracking timelines and managing regulator expectations.
  • Guide internal teams to ensure they are well prepared for regulatory meetings and responses.
  • Create and maintain databases for management reporting of regulatory inquiries, examinations, and issue tracking.
  • Review and approve promotional material for compliance with NFA rules.
  • Ensure compliance with the company's regulatory requirements under the SEC, FINRA, NFA, CFTC, and other applicable exchanges.
Requirements
  • Bachelor's degree in Finance, Economics, Business, or other related field.
  • Familiarity with the requirements for setting up Guaranteed Introducing Brokers with regulators.
  • Existing Regulatory Inquiry and Exam experience in a financial markets context.
  • Excellent verbal and written communication skills.
  • Data analysis and interpretation skills.
  • Organizational and time management skills.
  • Proficient in Microsoft Office (Word, Excel, Outlook, etc.).
  • Experience working in a regulated environment and knowledge of the risk and compliance requirements associated with this.
About Us

Marex Services Group, LLC is a global financial services platform providing essential liquidity, market access, and infrastructure services to clients in the energy, commodities, and financial markets. We are committed to fostering a compliant culture within our organization and ensuring that all employees understand their responsibilities.

We are an equal opportunity employer and welcome applications from diverse candidates. 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 law.