SKILLS AND EXPERIENCE

• 5+ years* transferable skills gained in a similar role / organisation
• 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
• Experience working in a regulated environment and knowledge of the risk and compliance requirements associated with this.
• Knowledge of programming languages (e.g. VBA, python, etc.) for tactical control development where required beneficial (not essential)
• experience outside of this range will also be considered

ROLE SUMMARY

Marex Financial Ltd are searching for a Senior Surveillance Compliance officer to join their team in London. The role focusses on Trade Surveillance for Metals and FX; with an opportunity to gain exposure to a wider range of compliance activities at a market-leading commodity broking company.

RESPONSIBILITIES

• Conduct T+1 Trade Surveillance in Nasdaq Trade Surveillance (SMARTS) and other tools as required for Metals (primary) and FX (secondary).
• Escalating any suspicious activity findings to management and reporting to regulators.
• Developing the surveillance program through continuous control evaluation and enhancement and development of new controls where new risks emerge or in response to business change initiatives.
• Engaging with the businesses trading Metals and FX to ensure detailed understanding of trade flows, booking models and operating models.
• Identification of trends and patterns that require further evaluation and discussion with Compliance Advisory and/or Business management.
• Alert threshold calibration to ensure the effective and efficient operation of controls covering Metals and FX.
• Collaboration with wider team to ensure two-way knowledge transfer and appropriate cover during absences.
• Ensuring appropriate audit trails and documentation in place to describe work undertaken and decisions reached.
• Ensuring 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.
• 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 your manager as required