Senior 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, categorized by business line, desk, and alert type.
• 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, CFTC, and other applicable exchanges.

Requirements

• Proven experience in trade surveillance within a financial markets context.
• Strong understanding of financial markets and regulated environments.
• Advanced data analysis and interpretation skills.
• Proficiency in Microsoft Office products (Word, Excel, Outlook, etc.).
• Excellent verbal and written communication skills with the ability to coordinate across different business functions.
• 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 a regulatory body.
• Experience developing strategic Artificial Intelligence (AI) solutions for surveillance or compliance.
• Relevant industry certifications such as FINRA Series 7 or 24, NFA Series 3, or CAMS.

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 through technology-powered services and deep market expertise.