Senior Surveillance Compliance Officer - Fixed Income, Swaps & OTC Derivatives

at  Marex

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.
For more information visit www.marex.com (http://www.marex.com/)

SKILLS AND EXPERIENCE

• 7+ years* of immediately transferable skills gained in a similar role within fixed income or in an OTC Surveillance SME / organisation
• Strong team player / leader, experience of dealing with a variety of stakeholders
• Strong Surveillance knowledge, including regulation, tools used (Global Relay, SMARTS Broker or similar surveillance tools is essential)
• Knowledge of tactical / manual Surveillance and experience of implementing these controls in conjunction with transitioning to an automated surveillance solution.
• 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.

ROLE SUMMARY

Marex Financial Ltd are searching for Senior Surveillance Compliance officer to join their team in London. The role focusses on Surveillance (Trade and Comms) across the Fixed Income, Swaps and OTC space; with an opportunity to gain exposure to a wider range of compliance activities at a market-leading commodity broking company. The successful candidate will manage the manual OTC coverage, the Trade Reconstruction and lead on the Fixed Income / OTC transition onto an automated surveillance solution (Nasdaq SMARTS).

RESPONSIBILITIES

• Lead on OTC / Fixed Income manual surveillance implementation / enhancement.
• Manage the transition from these current tactical controls to Nasdaq SMARTS.
• Escalating any suspicious activity findings to management and reporting to regulators.
• Participating in thematic reviews and the annual MARA process, factoring these findings into enhancing the OTC / Fixed Income control framework.
• Conducting Trade Reconstruction reviews of Fixed Income / OTC activity, using Global Relay, Audio platforms and various Marex data sources.
• Ensuring compliance with the company’s regulatory requirements under the FCA, NFA, AMF, AFM, MAS and any other relevant regulatory body
• 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 the FCA’s Code of Conduct and 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.