Senior Compliance Officer – FCM Advisor

Responsibilities

• Provide FCM compliance advisory support to front office teams regarding day-to-day business activities.
• Lead the preparation and submission of key regulatory filings and manage regulatory relationships and inquiries for the US FCM business line.
• Review, draft, and enhance US FCM Policies and Procedures and Written Supervisory Procedures.
• Support Desk Heads with FCM-related compliance matters and field business questions.
• Review new business initiatives, products, and markets to ensure compliance through the US FCM BCAC management review process.
• Ensure compliance with regulatory requirements under the SEC, FINRA, NFA, CFTC, and other applicable exchanges.
• Adhere to the operational risk framework and escalate risk events immediately.

Requirements

• Bachelor’s Degree in Finance, Economics, Business, or a related field.
• Existing compliance experience within a financial markets context.
• Knowledge of SEC, FINRA, NFA, and CFTC regulations.
• Experience working in a regulated environment with an understanding of associated risk and compliance requirements.
• Strong data analysis and interpretation skills.
• Proficiency in Microsoft Office products (Word, Excel, Outlook, etc.).
• Excellent verbal and written communication skills with the ability to collaborate across different geographies and business functions.

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, the Group provides comprehensive coverage across Market Making, Clearing, Hedging, Investment Solutions, and Agency and Execution.