Job Description

Diversified. Resilient. Dynamic.

Marex is a global financial services platform, providing essential liquidity, market access and infrastructure services to clients in the energy, commodities and financial markets.

The Group provides comprehensive breadth and depth of coverage across four core services: Market Making, Clearing, Hedging and Investment Solutions and Agency and Execution. It has a major franchise in many major metals, energy and agricultural products, executing around 50 million trades and clearing 205 million contracts in 2022. The Group provides access to the world's major commodity markets, covering a broad range of clients that include some of the largest commodity producers, consumers and traders, banks, hedge funds and asset managers.

With more than 35 offices around the globe, and over 2,300 dedicated people enabling access to exchanges and technology-powered services.

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Purpose of Role:

Marex is seeking a Compliance Officer – Swap Advisory who will provide compliance advisory services for Marex's registered Swap Dealer (Marex Derivative Products, “MDP”) and Securities-Based Swap Dealer (Marex Securities Products, “MSP”) and have a prominent role in the implementation of related compliance programs. The position will primarily focus on providing real-time compliance advisory services to the MDP and MSP business units as well as Compliance teams that support those businesses. Implementation of the MDP and MSP Compliance programs may include assisting with the design of controls and tests, development of supervisory MI, implementing regulatory change events and remediation efforts, development of policies and procedures, and assisting with regulatory exams. This role may also expand to cover other business lines such as structured products.

Marex 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.

MDP and MSP are the primary business units engaged in principal OTC derivatives activity, offering clients from across Marex's businesses access to risk management and investment products.

Responsibilities :

• Proactive in implementing Annual Compliance Plan in line with below responsibilities:
  • Provide Compliance Advisory services to US Swap Dealer business lines.
  • Complete or assist in completing US Swap Dealer related regulatory inquiries
  •  Complete or assist in completing US Swap Dealer BCAC guidance for management review
  •  Manage US Swap Dealer Business Line management relationships.
  • Collaborate to ensure Americas Compliance Calendar deadlines are achieved.
  • Create or assist in developing US Swap Dealer Policies and Procedures and Written Supervisory Procedures
  • Provide Compliance Advisory services for US Swap Dealer Trade Surveillance process.
  • Provide Compliance Advisory services for US Swap Dealer Regulatory Reporting process.
    
• 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.

The Company may require you to carry out other duties from time to time.

Competencies, Skills and Experience

Competencies

• Have a positive, hands-on, “can-do” attitude.
• Ability to work on multiple projects in a fast-paced environment.
• Ability to project confidence and professionalism in dealings with senior business personnel.
• Ability to make, support and defend difficult and complex regulatory/compliance decisions in a fast-paced and high-pressured environment.
• Strategic collaborator with insight and agility, able to anticipate future challenges, ensuring operational effectiveness.
• A curiosity and interest in learning about new products, business, and markets.

Skills and Experience

• At least 5 (five) years of financial services advisory or compliance management experience, preferably at a firm engaged in swap activity (e.g. dealer, clearing agent, investment firm)
• Knowledge of swap dealer/security-based swap dealer activities and requirements.
  
• Strong knowledge of applicable derivatives laws, rules and regulations with the ability to assess firm impact. Specifically, NFA, CFTC, SEC
• Comfortable working both independently and in a team environment.
• Quick learner and self-starter, with the ability to manage multiple tasks simultaneously with minimal supervision.
• Excellent verbal and written communication skills.
• Experience working in a regulated environment and knowledge of the risk and compliance requirements associated with this.
• Bachelor's degree is preferred.

Salary Range: $110,000 to $150,000 per year base salary and eligible for discretionary bonus.

Marex Benefits for 2025 (

Company Values:

Acting as a role model for the values of the Company:

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.

We are an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability status, protected veteran status, or any other characteristic protected by the law.

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Job Tags

Full time, Immediate start,

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