Global Regulatory Expert

6 days ago

New York, New York, United States Marex Full time
Job Overview

Marex is a leading global financial services platform providing essential liquidity, market access, and infrastructure services to clients in the energy, commodities, and financial markets. The company operates across four core services: Market Making, Clearing, Hedging, and Investment Solutions and Agency and Execution.

The Executive Compliance Officer - Solutions Advisory position plays a crucial role in ensuring that all activities are conducted in accordance with the law. This involves monitoring transactions, conducting regular audits, training employees on regulatory requirements, and implementing policies and procedures to minimize non-compliance risks.

The successful candidate will have at least 10 years of securities advisory experience, strong knowledge of applicable securities laws, rules, and regulations, and the ability to assess firm impact. They will also be able to work on multiple projects in a fast-paced environment, project confidence and professionalism in dealings with senior business personnel, and make, support, and defend difficult and complex regulatory/compliance decisions.

Responsibilities:

  • Provide compliance advisory services to US Marex Solutions business lines.
  • Complete or assist in completing US Marex Solutions related regulatory inquiries.
  • Complete or assist in completing US Marex Solutions BCAC guidance for management review.
  • Manage US Marex Solutions Business Line management relationships.
  • Collaborate to ensure Americas Compliance Calendar deadlines are achieved.
  • Create or assist in developing US Marex Solutions Policies and Procedures and Written Supervisory Procedures.
  • Provide compliance advisory services for US Marex Solutions Trade Surveillance process.
  • Provide compliance advisory services for US Marex Solutions Regulatory Reporting process.
  • Ensure compliance with the company's regulatory requirements under the SEC, FINRA, NFA, CFTC, and other applicable exchanges and regulatory bodies.
  • 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.

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