Security Based Swaps SBS Capital Controller

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 2300 dedicated people enabling access to exchanges and technology-powered services. For more information visit Purpose of Role: The Securities Based Swaps Capital Controller oversees all financial activities of the Security Based Swap (SBS) regulated entity including daily and monthly regulatory reporting, the month-end close process, financial reporting and deadline management. 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 ** ** Responsibilities: **Financial Reporting ** Ensure compliance with the company's swaps regulatory requirements under SEC regulations. Prepare and/or supervise the daily and monthly regulatory filings, including daily capital computations, monthly position and counterparty reports and margin reports. Conduct monthly analytical review on legal entity income statement and balance sheet. Assist with the preparation of monthly management reports, including Board meetings. Review and challenge balance sheet reconciliations. Develop and enhance existing processes. Design and implement world class control environment. **Monthly and Year End - Assist in all phases of the closing and reporting functions, including. ** Analyze variances in income statement and balance sheet accounts monthly. Apply principles of accounting to analyze financial information and prepare financial reports. Assist in year-end audits and manage ad-hoc inquiries from external auditors. **Miscellaneous Department Duties ** Role model for demonstrating highest level standards of integrity and conduct and reflecting Company Values. Monitor, supervise and ensure proper training of support staff. Assist the team with various ongoing audits (Internal, Regulatory, and External) by compiling requested information on a timely basis Create, update, and maintain process documentation and procedures, reducing inefficiencies where applicable. Report any breaches of policy to Compliance and the Chief Financial Officer. Understand and adhere to Compliance rules and how role relates to the regulatory framework. Ensuring compliance with the company's regulatory requirements including capital and margin requirements. 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 A collaborative team player, approachable, self-efficient and influences a positive work environment. Resilient in a challenging, fast-paced environment. Detail-oriented with a strong commitment to preparing accurate work. Ability to take a high level of responsibility in a fast pace and high-volume environment. Strategic collaborator with insight and agility, able to anticipate future challenges, ensuring operational effectiveness. ** ** Skills and Experience Thorough knowledge of Security Based Swap (SBS) capital and margin rules (18a-1,3). A Bachelor's degree or equivalent in Accounting/related field or Master's in Accounting At least three years of experience in a Swaps Controller position is required. Proficiency in Microsoft Excel, Access, and Word in automating tasks and organizing data for analytical purposes with pivot tables and charts; advanced Microsoft Excel skills required. Experienced with PeopleSoft accounting software and general ledger skills. Thorough knowledge of accounting principles and procedures. Experience working in a regulated environment and knowledge of the risk and compliance requirements associated with this. Series 99 or 27 preferred. Salary Range: $125,000 to $200,000 per year plus discretionary bonus. 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's goal is to build and maintain a workforce that is diverse in experience and background but uniform in reflecting our standards of integrity and excellence. Consequently, our recruiting efforts reflect our desire to attract and retain the best and brightest from all talent pools. We want to be the employer of choice for prospective candidates. We encourage applications from candidates returning to the job market. It is the policy of Marex to ensure equal employment opportunity without discrimination or harassment on the basis of race, color, religion, creed, age, sex, sex stereotype, gender, gender identity or expression, transgender, sexual orientation, national origin, citizenship, disability, marital and civil partnership/union status, pregnancy, veteran or military service status, genetic information, or any other characteristic protected by law. #LI-PP1

Created: 2024-11-02