Senior Compliance Assurance & Investigations Officer

Responsibilities

• Lead and manage complex, confidential investigations, including whistleblowing reports, ensuring adherence to legal frameworks and company policies.
• Prepare high-quality investigation reports with clear findings and actionable recommendations for senior management.
• Execute the Compliance Assurance Plan by leading risk-based desk and thematic reviews, including scoping, testing, and reporting.
• Manage global Compliance Risk Assessment rollouts and annual refreshes to monitor regulatory risks and controls.
• Validate remediation actions resulting from assurance work to ensure effective completion.
• Build collaborative relationships with global Compliance teams and business stakeholders to ensure an integrated risk assessment approach.
• Coach, mentor, and develop junior staff members within the team.
• Support the Head of Compliance Assurance with ad-hoc activities, such as regulatory information requests and root cause analysis.

Requirements

• Must be a qualified solicitor.
• 10+ years of experience in Investigations, Compliance Monitoring/Assurance, Advisory, or Audit roles.
• Proven experience working within UK regulated financial services.
• Broad knowledge of compliance regulation and risk assessment methodologies.
• Exceptional written, verbal, and interpersonal communication skills.
• Ability to handle highly confidential and complex matters with discretion.
• Proficiency in Microsoft Excel and Word.

Preferred Qualifications

• In-depth knowledge of market abuse regulation, risks, and surveillance.
• Knowledge of Structured Products, Exchange Traded Derivatives, or OTC Derivatives.
• Experience or interest in data analytics and AI.

About the Company

Marex Group plc is a diversified global financial services platform providing essential liquidity, market access, and infrastructure services across energy, commodities, and financial markets. With over 40 offices worldwide and more than 2,300 employees, Marex serves a broad range of clients, including major commodity producers, banks, hedge funds, and asset managers.