Surveillance Compliance Officer - Trade Surveillance - 6 month contract

About Marex

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.

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Role Summary

Marex Financial Ltd are searching for a Surveillance Compliance Officer to join their team in London. The role focuses on Trade Surveillance across a variety of asset classes; with an opportunity to gain exposure to a wider range of compliance activities at a market-leading commodity broking company. The successful candidate will focus on listed activity in Nasdaq SMARTS and assist in the wider Surveillance space.

Responsibilities

• Conduct T+1 Trade Surveillance in Nasdaq SMARTS.
• Escalate any suspicious activity findings to management and report to regulators.
• Ensure compliance with the company's regulatory requirements under the FCA, NFA, AMF, AFM, MAS and any other relevant regulatory bodies.
• 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.
• Comply with the FCA's Code of Conduct and Marex's Code of Conduct.
• Be 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.
• Report any breaches of policy to Compliance and/or your supervisor as required.
• Escalate risk events immediately.
• Provide input to risk management processes, as required.

Competencies

• Strong knowledge of Trade Surveillance, MAR scenarios and vendors, specifically Nasdaq SMARTS.
• A collaborative team player, approachable, self-efficient.
• Demonstrates curiosity.
• Resilient in a challenging, fast-paced environment.
• Ability to take a high level of responsibility in a fast-paced 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.

Skills and Experience

• 5+ years of transferable skills gained in a similar role/organization.
• Strong team player, experience of dealing with a variety of stakeholders.
• Strong Surveillance knowledge, including regulation, tools used (Nasdaq SMARTS or similar surveillance tools is essential).
• Educated to degree level in a related subject would be beneficial, but not essential.
• Excellent verbal and written communication skills.
• Experience working in a regulated environment and knowledge of the risk and compliance requirements associated with this.

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 standards of market conduct.
• Act to deliver good outcomes for retail customers.

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 clients' 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.

Candidates outside of the indicated range will also be considered.

Marex is fully committed to the elimination of unlawful or unfair discrimination and values the differences that a diverse workforce brings to the company.