Compliance Officer, Broker-Dealer Advisor (Equities and Options)

Responsibilities

• Support the Head of U.S. Broker-Dealer Compliance in managing regulatory obligations.
• Provide compliance advisory support to front office teams regarding day-to-day business activities.
• Review, draft, and enhance U.S. Broker-Dealer Policies, Procedures, and Written Supervisory Procedures.
• Evaluate new business initiatives, products, and markets to ensure compliance through the BCAC management review process.
• Ensure adherence to regulatory requirements set by U.S. bodies, including FINRA and the SEC.
• Collaborate with teams to ensure all Compliance Calendar deadlines are met.
• Adhere to the operational risk framework and escalate risk events immediately.

Requirements

• At least eight (8) years of financial industry experience in a legal or compliance role.
• Bachelor’s Degree in Finance, Economics, Business, or a related field.
• Deep expertise in equity options and listed options trading activities.
• Extensive knowledge of U.S. Broker-Dealer regulatory matters (FINRA, SEC).
• Proven experience working within regulated financial services environments.
• Excellent verbal and written communication skills.
• Ability to work effectively within a matrix reporting organization.

Preferred Qualifications

• Juris Doctor (JD) or other advanced graduate degree.

About the Company

Marex is a global financial services platform providing essential liquidity, market access, and infrastructure services to clients in the energy, commodities, and financial markets. With more than 35 offices around the globe and over 2,300 dedicated people, Marex offers comprehensive coverage across market making, clearing, hedging, and investment solutions.