Compliance Officer - Trade Surveillance

Responsibilities

• Provide Trade Surveillance, E-communications, and Voice review services to US Broker Dealer (BD) and FCM (Futures) business lines.
• Review alerts using technical expertise and surveillance toolsets 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.

Requirements

• Excellent understanding of financial markets.
• Proven experience in trade surveillance within a financial markets context.
• Experience working in a highly regulated environment.
• 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 abilities.

Preferred Qualifications

• Bachelor’s Degree in Finance, Economics, Business, or a related field.
• Experience working for a regulated exchange or a regulatory body.
• Experience developing strategic Artificial Intelligence (AI) solutions for surveillance or compliance.
• FINRA Series 7 or 24; NFA Series 3, or 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 major exchanges and technology-powered services across a wide range of asset classes.