Compliance Officer: Surveillance

Responsibilities

• Provide E-communications, Voice, and Trade Surveillance review services for US Broker Dealer (BD) and FCM business lines
• Review alerts to determine if they are true positives or false positives, ensuring proper documentation and escalation
• Notify supervisors or clients of confirmed true positives and follow up on open issues
• Produce detailed surveillance metrics for the Head of US Surveillance, categorized by date, business line, and trader
• Participate in the continuous improvement of the surveillance function, including testing trade data and OMS/EMS systems
• Suggest enhancements to increase the discovery of true positives and reduce false positives
• Ensure compliance with regulatory requirements under the SEC, FINRA, NFA, and CFTC
• Adhere to the company's operational risk framework and Code of Conduct

Requirements

• Existing surveillance experience within a financial markets context
• Excellent understanding of US financial markets and regulatory requirements (SEC, FINRA, NFA, CFTC)
• Strong data analysis and interpretation skills
• Proficiency in Microsoft Office products (Word, Excel, Outlook)
• Excellent English verbal and written communication skills
• Strong organizational and time-management skills
• Experience working in a highly regulated environment

Preferred Qualifications

• Bachelor’s Degree in Finance, Economics, Business, or a related field

About the Company

Marex Group plc is a diversified global financial services platform providing essential liquidity, market access, and infrastructure services to clients across energy, commodities, and financial markets. With more than 40 offices worldwide and over 2,300 employees, the group provides comprehensive coverage across clearing, agency and execution, market making, and hedging and investment solutions.