Compliance Officer - Surveillance

Responsibilities

• Provide E-communications, Voice, and Trade Surveillance review services to US Broker Dealer (BD) and FCM business lines
• Review alerts in a timely fashion, using technical expertise to determine true positives versus false positives
• Escalate potential true positives to management with proper documentation and rationale
• Produce detailed metrics on surveillance reviews for the Head of US Surveillance
• Participate in the ongoing 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, CFTC, and other applicable exchanges
• Maintain and grow industry knowledge by following relevant news events and regulatory actions

Requirements

• Existing surveillance experience in a financial markets context
• Excellent understanding of financial markets and regulated environments
• Strong data analysis and interpretation skills
• Proficiency in Microsoft Office products (Word, Excel, Outlook, etc.)
• Excellent verbal and written communication skills
• Strong organizational and time-management skills

Preferred Qualifications

• Bachelor’s Degree in Finance, Economics, Business, or a related field
• Experience working for a regulated exchange or regulator
• Experience developing strategic Artificial Intelligence (AI) solutions for surveillance or compliance
• FINRA Series 7 or 24; NFA Series 3, Swaps Proficiency Long Track
• CAMS Certification

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 enables access to exchanges and technology-powered services across a wide range of asset classes.