Executive Compliance Officer Marex Solutions Advisory

$200,000 - $250,000/Yr

Marex Us - New York, NY

Full-time - Senior

New York, NY

1,001-5,000 employees

Motor Vehicle and Parts Dealers

About the position

Marex Solutions Advisory is seeking an Executive Compliance Officer to provide compliance advisory services across multiple business lines and asset classes, including OTC derivatives, structured notes/products, equities, fixed income, listed options, equity derivatives, and hedging activities. This role is crucial in overseeing trading activities and ensuring compliance with various regulatory reporting requirements. The Executive Compliance Officer will primarily focus on delivering real-time compliance advisory services tailored to the Marex Solutions Business units, addressing issues with a keen understanding of regulatory requirements, firm risk, and industry best practices. In this dynamic role, the Executive Compliance Officer will be responsible for advising individuals within various Marex Business lines from a compliance perspective. Marex has a unique position in the market, with significant global share both on and off exchange, and the depth of knowledge within its teams provides customers with a competitive advantage. The compliance landscape is increasingly complex, and this position plays a vital role in navigating a wide range of regulatory requirements to maintain licenses and protect Marex's reputation. Compliance Officers are essential in ensuring that all activities are conducted in accordance with the law, monitoring transactions, conducting audits, training employees on regulatory requirements, and implementing policies to minimize non-compliance risks. The Executive Compliance Officer will also act as a bridge between Marex and regulatory authorities, responding to inquiries, providing necessary documentation, and cooperating with regulatory examinations and investigations. This collaboration is essential for maintaining a healthy and transparent relationship with regulatory bodies. The role requires a proactive approach in implementing the Annual Compliance Plan, managing relationships with business line management, and ensuring adherence to the operational risk framework. The Executive Compliance Officer will be a role model for integrity and conduct, reflecting the company's values and ensuring compliance with Marex's Code of Conduct.

Responsibilities

• Provide Compliance Advisory services to US Marex Solutions business lines.
• Complete or assist in completing US Marex Solutions related regulatory inquiries.
• Complete or assist in completing US Marex Solutions BCAC guidance for management review.
• Manage US Marex Solutions Business Line management relationships.
• Collaborate to ensure Americas Compliance Calendar deadlines are achieved.
• Create or assist in developing US Marex Solutions Policies and Procedures and Written Supervisory Procedures.
• Provide Compliance Advisory services for US Marex Solutions Trade Surveillance process.
• Provide Compliance Advisory services for US Marex Solutions Regulatory Reporting process.
• Ensure compliance with the company's regulatory requirements under the SEC, FINRA, NFA, CFTC and other applicable exchanges and 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.
• Comply with Marex's Code of Conduct and report any breaches of policy to Compliance and/or your supervisor as required.
• Escalate risk events immediately and provide input to risk management processes as required.

Requirements

• At least 10 years of securities advisory experience.
• Strong knowledge of applicable securities laws, rules and regulations, specifically FINRA, SEC, Options Clearing Corp. and other Self-Regulatory Organizations.
• Knowledge of broker-dealer activities and requirements.
• Ability to work on multiple projects in a fast-paced environment.
• Excellent verbal and written communication skills.
• Ability to project confidence and professionalism in dealings with senior business personnel.
• Experience working in a regulated environment and knowledge of the risk and compliance requirements associated with this.
• Bachelor's Degree.

Nice-to-haves

• Critical thinker, proactive and creative.
• Highly organized with strong attention to detail.
• Ability to independently identify and resolve issues.
• Strategic collaborator with insight and agility, able to anticipate future challenges.

Benefits

• Salary range of $200,000 to $250,000 per year plus discretionary bonus.