Executive Compliance Officer

2 weeks ago

New York, New York, United States Marex, Inc. Full time
About Marex, Inc.

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

Job Summary

We are seeking an experienced Executive Compliance Officer - Solutions Advisory to join our team. The successful candidate will provide compliance advisory services across multiple business lines and asset classes, including OTC derivatives, structured notes/products, equities, fixed income, listed options, equity derivatives, and hedging activities.

Key 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 the highest level of standards of integrity and conduct and reflecting Company Values.
Requirements
  • At least 10 years of securities advisory experience.
  • Strong knowledge of applicable securities laws, rules, and regulations with the ability to assess firm impact.
  • 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.
  • Bachelor's Degree.
Company Values

Marex, Inc. is committed to building a diverse and inclusive workforce that reflects our standards of integrity and excellence. We encourage applications from candidates returning to the job market and are an equal opportunity employer.

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