Compliance Officer - Policies and Procedures (...

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 Compliance Officer - Policies and Procedures of will create and maintain a Compliance Policies and Procedures for all Americas registered entities, they will be assisted in content by the compliance advisor for each regulated entity. The Compliance Officer Policies and Procedures will also maintain the Written Supervisory Procedures for the business units. The Compliance Officer Policies and Procedures will ensure that all policies and procedures are up to date, posted on the internal web and distributed to users. In addition, the Policies and Procedures Compliance Officer will maintain version control and ensure that standard templates are utilized. The position will be work closely with the Business Unit Compliance Officers. 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. In the ever-evolving financial landscape, Compliance has become increasingly complex. Marex must navigate a wide range of regulatory requirements to maintain licenses and protect Marex's reputation. Compliance and Compliance Officers play a crucial role in ensuring that all activities are conducted in accordance with the law. 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 Marex and ensuring that all employees understand their responsibilities. Furthermore, Compliance is a bridge between Marex 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 Marex and regulatory bodies. Responsibilities: Create and maintain Compliance Policies and Procedures including WSP (Written Supervisory Procedures) for all regulated US entities including two broker dealers, swap dealer, and FCM. Work with Compliance advisory teams (FCM, Broker Dealer, Solutions, Central Compliance) to ensure that policies and procedures are maintained. Maintain a horizon scanning log for all US regulators. Maintain US Compliance Training program. Coordinate US Compliance Training and Horizon scanning with Global Team. 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. Critical thinker, proactive, and creative. High organized, strong attention to detail. Ability to independently identify and resolve issues. 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 work on multiple projects in a fast-paced environment. Quick learner and self-starter, with the ability to manage multiple tasks simultaneously with minimal supervision. Strategic collaborator with insight and agility, able to anticipate future challenges, ensuring operational effectiveness. Skills and Experience Bachelor's degree (or a post graduate degree) is preferred. At least 5 years of financial industry experience in a compliance role. Experience managing projects in a complex environment. Comfortable working both independently and in a team environment. Experience working in a regulated environment and knowledge of the risk and compliance requirements associated with this. Excellent verbal and written communication skills. Salary Range: $125,000 to $180,000 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