SKILLS AND EXPERIENCE

• Experience working in a regulated environment and knowledge of the risk and compliance requirements associated with this.
• Demonstrable experience working in and leading a surveillance team, with knowledge of the techniques, processes, controls and best practices required to ensure a robust surveillance function that is effective and efficient.
• Problem solving skills
• Negotiation skills
• Experience working in an environment with multiple, sometimes competing, priorities
• Knowledge of and experience of implementing surveillance best practices, including both the primary surveillance controls and the supporting processes (e.g. threshold reviews, QA, etc.)

ROLE SUMMARY

Manage the regional surveillance team that monitors client and proprietary trading activity in the UK, Europe, MENA and APAC to detect potential regulatory, exchange and conduct breaches.

RESPONSIBILITIES

• Supervise the operation of trade and communication surveillance controls for all areas of the business and in various asset classes.
• Form part of the global surveillance management team, designing and executing the surveillance strategy and ensuring the effective and efficient operation of the global program.
• Oversee the preparation of clear and organised surveillance work papers to document and support work performed and conclusions reached.
• Be the initial point person for escalated alerts from the Surveillance team covering activity in the UK, Europe, MENA and APAC
• Provide training and quality assurance for surveillance resources based in London, Paris, Sydney and any other sites required in future to support the monitoring of Marex business outside the Americas.
• Recommend and manage the implementation of system and procedural changes that would enhance the effectiveness and efficiency of the trade surveillance programme.
• Prepare as needed documents for submission to exchanges and regulatory bodies.
• Draft documents as a result of issues/findings arising from the monitoring.
• Conduct monthly meetings with desk or business heads.
• Interact with all levels of the business, including Senior Staff, desk heads, sales and proprietary traders.
• Ensure the ongoing operation of controls supporting the robustness and effectiveness of the surveillance program, including threshold/parameter reviews, lexicon reviews, quality assurance, control effectiveness reviews, etc.
• Ensure procedures are being followed consistently within the team and that evidence is stored in line with relevant procedures.
• Collaborate with the Head of US Surveillance to ensure consistency where possible in processes and controls.
• Undertake ad hoc projects, including those of a global nature, as required.
• Engage in acquisitions and business change initiatives to ensure surveillance processes are developed or enhanced as required to meet the needs of the those businesses.

STANDARD RESPONSIBILITIES FOR ALL EMPLOYEES:

• Ensure compliance with the company’s regulatory requirements
• Adhere to the operational risk framework for your role ensuring that all regulatory or company determined parameters are complied with
• Be a role model for demonstrating highest level standards of integrity and conduct and reflecting Company Values.
• At all times comply with the FCA’s Code of Conduct and Marex’s Code of Conduct
• 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
• 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