Compliance Officer - Advisory

Support the Head of Business Advisory Compliance in ensuring the Marex Group adheres to and operates within its regulatory requirements, remains within stated Marex risk appetites, maintains good conduct, drives a strong culture and positive customer outcomes. Specific focus on delivering second line oversight of the Listed Derivatives Business activities across the Marex Group including Metals, Commodities ('Agricultural'), Energy, Financial Futures & Options and Listed derivatives Clearing and Direct Execution businesses ('the business groups') by providing advisory compliance support including leading on responses to listed derivative exchange regulatory enquiries. Participate in broader Group Compliance management initiatives and where required provide support on Compliance matters concerning Marex Group business activities. Responsibilities

• Act as the Compliance lead on listed derivative exchange related enquiries. Liaise with business groups to gather the relevant information and manage, investigate and draft responses to such exchange regulatory enquiries, including audit programmes.
• Ensure the timely identification of regulatory change affecting the wider Marex businesses groups ensuring appropriate collaboration across all relevant Support Functions and the Business and assisting the Business with implementing the new regulation in a robust and controlled manner.
• Performing the Compliance review of product/service related materials such as marketing materials, presentations and product brochures are in line with regulatory requirements
• Deliver ongoing compliance support to relevant business groups including the provision of advice on the application of global compliance policies, exchange rules and regulations
• Maintain regular ongoing daily engagement with the relevant Marex business groups including regular documented Business catchups with key business stakeholders
• Supporting compliance team members on reviewing and advising on specific BAU transactions to include advice to business on the application of global compliance policies, exchange rules and regulations.
• Identifying regulatory or reputational risks and escalating to management for resolution.
• Supporting compliance team members on the delivery of timely compliance review and approval of new Business specific initiatives such as new transaction structures, new jurisdictions, new systems, etc and complete (where relevant) Business Change Approval Ctte ('BCAC') compliance assessments.
• Working with Legal, Compliance colleagues and other support function staff across the region and in the other regions to advise on and to address any cross-jurisdictional compliance matters.
• Providing SME support to Compliance Assurance colleagues by participating in the annual Compliance Risk Assessment process, and execution of assurance activities as they relate to the business groups.
• Designing, driving and delivering specific desk based thematic reviews.
• Acting as a challenge and control function to the Business on compliance related matters including the Business owned Risk & Control Assessment
• Participating in the development and delivery of annual regulatory training plan for the Business as well as ad hoc trainings, as needed.
• Providing Compliance input to control and regulatory incidents, Internal audits and reviews within the Business.
• Standard company responsibilities
• Ensuring compliance with the company's regulatory requirements under the FCA.
• Adhere to the operational risk framework for your role ensuring that all regulatory or company determined parameters are complied with.
• Role model for demonstrating highest level standards of integrity and conduct and reflecting Company Values.
• At all times complying with the FCA's Code of Conduct.
• To ensure that you are fully aware of and adhere to internal policies that relate to you, your role or any other activities for which you have any level of responsibility.
• To report any breaches of policy to Compliance and/ or your supervisor as required.
• To escalate risk events immediately.
• To provide input to risk management processes, as required.
  
  Prior Compliance advisory experience from a bank, brokerage or listed derivative exchange, of at least 2 years
• Some knowledge and understanding of regulatory frameworks. Those impacting listed derivatives an advantage.
• Experience in leading and liaising with Exchanges and Regulators an advantage
• Degree educated or equivalent and financial services industry qualifications preferable.
Competencies
• Skilled at stakeholder management; ability to work closely with multiple internal stakeholders, able to build strong cooperative relationships at all levels.
• Initiative and commitment to excellence - actively and enthusiastically attempt to influence, seek opportunities to originate action, encourage and develop new ideas.
• Ability to think outside the box and provide creative solutions.
• Be able to multi-task, prioritize and work to deadlines in a pressurised environment.
• Strong conduct and culture lens with a focus on good customer outcomes.
• Excellent verbal and written communication skills.
• A collaborative team player, approachable, self-efficient and influences a positive work environment
• Demonstrates curiosity
• Resilient in a challenging, fast-paced environment
• Ability to take responsibility in a fast pace and high-volume environment
• Excels at building relationships, networking and influencing others
• Strategic collaborator with insight and agility, able to anticipate future challenges, ensuring operational effectiveness
Conduct Rules You must:
• Act with integrity
• Act with due skill, care and diligence
• Be open and cooperative with the FCA, the PRA and other regulators
• Pay due regard to the interests of customers and treat them fairly
• Observe proper standard of market conduct
• Act to deliver good outcomes for retail customers
  
  Marex Group plc is a diversified global financial services platform, providing essential liquidity, market access and infrastructure services to clients in the energy, commodities and financial markets. It listed on Nasdaq Global Select Market in April 2024. With more than 35 offices in Europe, US and APAC, it has unique access across markets with significant share globally both on and off exchange. The depth of knowledge amongst its teams and divisions provides its customers with clear advantage, and its technology-led service provides access to all major exchanges, order-flow management via screen, voice and DMA, plus award-winning data, insights and analytics., Respect - Clients are at the heart of our business, with superior execution and superb client service the foundation of the firm. We respect our clients and always treat them fairly.
Integrity - Doing business the right way is the only way. We hold ourselves to a high ethical standard in everything we do - our clients expect this and we demand it of ourselves. Collaborative - We work in teams - open and direct communication and the willingness to work hard and collaboratively are the basis for effective teamwork. Working well with others is necessary for us to succeed at what we do. Developing our People - Our people are the basis of our competitive advantage. We look to "grow our own" and make Marex the place ambitious, hardworking, talented people choose to build their careers. Adaptable and Nimble - Our size and flexibility is an advantage. We are big enough to support our client's various needs, and adaptable and nimble enough to respond quickly to changing conditions or requirements. A non-bureaucratic, but well controlled environment fosters initiative as well as employee satisfaction. Marex is fully committed to the elimination of unlawful or unfair discrimination and values the differences that a diverse workforce brings to the company.