Compliance Officer, Surveillance

Compliance Officers monitor transactions, conduct regular audits, train employees on regulatory requirements, and implement policies and procedures to minimize non-compliance risks. Compliance efforts are instrumental in fostering a compliant culture within client and ensuring that all employees understand their responsibilities.

Furthermore, Compliance is a bridge between client and regulatory authorities. Compliance is responsible for responding to inquiries, providing necessary documentation, and cooperating with regulatory examinations and investigations. This collaboration is essential in maintaining a healthy and transparent relationship between client and regulatory bodies.

Responsibilities

• Provide Trade, E-communications, and Voice Surveillance review services to US Broker Dealer (BD) and FCM business lines
• Review alerts with due consideration in a timely fashion, maintaining queues within guidelines
• Use technical expertise and Surveillance toolset to make determinations on whether or not an alert is a true positive or false positive, closing false positives with proper documentation including explanatory reasoning
• Seek additional clarifying information from Clients/Traders as appropriate
• Escalate potential true positives to management with proper documentation, including rationale
• Notify Employee’s Supervisor or Client of confirmed True Positive
• Follow up on open issues as needed
• Produce metrics on Surveillance reviews to the Head of US Surveillance
  • Clearly delineated by date, business line, desk, alert type, client, and trader

• Participate in ongoing improvement of the Surveillance function
  • testing of trade data and OMS/EMS systems to ensure the quality and completeness of data being input to the Surveillance tools
  • Actively suggesting potential enhancements that would
    • Increase discovery of True Positives
    • Reclassify False Negatives to True Positives
    • Reduce the quantity of False Positives without decreasing True Positives
    • Calibration testing for new and existing scenarios
    • Documented UAT Review of new scenarios

• Provide Surveillance expertise to FCM and BD Advisory Compliance, adding context and counsel to the objective response
• Communicate and coordinate with colleagues in Compliance and the business to ensure efficacious processes
• Maintain and grow industry knowledge by actively following relevant news events and regulator action
• Other Surveillance services as assigned
• Ensuring compliance with the company’s regulatory requirements under the SEC, FINRA, NFA, CFTC and other applicable exchanges.
• 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 Marex’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.

Skills and Experience
• Excellent understanding of US financial markets
• Data analysis and interpretation skills
• Proficiency in Microsoft Office products (Word, Excel, Outlook, etc.)
• Organizational and time-management skills
• Excellent English verbal and written communication skills
• Existing Surveillance experience in a financial markets context
• Experience working in a regulated environment and knowledge of the risk and compliance requirements associated with this.
• Demonstrable curiosity
• Resilience in a challenging, fast-paced environment
• Ability to communicate across geography, business function, corporate level, and experience set
• Unimpeachable character with integrity that guides all decisions
• Excellence in building relationships, networking and influencing others
• Self-starter with an ability to prioritize and manage multiple deliverables from beginning to completion
• A collaborative team player, approachable, self-efficient and influences a positive work environment
• Strategic collaborator with insight and agility, able to anticipate future challenges, ensuring operational effectiveness