Senior Compliance Officer - Central Compliance

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.

In supporting the Firm in meeting its regulatory obligations, Compliance provides expert advice, oversight and thought leadership in relation to relevant rules and regulations. Compliance is responsible for overseeing the adherence to regulatory requirements and expectations through compliance policies, advisory activity, training, monitoring, surveillance and supporting the firm to implement regulatory change.

Central Compliance are responsible for the development and implementation of compliance policies, training, regulatory registrations, exchange returns, complaints handling, conflicts management, regulatory interactions, regulatory developments, audit requests and whistleblowing framework oversight.

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Role Summary

The ‘Senior Compliance Officer – Central Compliance' role supports the Head of Central Compliance with the day-to-day operation of the Central Compliance function.

The role will primarily focus on and support the following key areas which forms part of the Central Compliance Function:

1. Training
2. Compliance Policy Framework
3. Complaints Handling
4. Conflicts Management (including PA Dealing processes)

Responsibilities

• Oversee the compliance policy framework including making changes and updates to compliance policies on a periodic basis or as required.
• Manage the compliance training schedule and systems, including: (i) issuing training as per the ongoing firm rollout schedule; (ii) reviewing, evaluating and enhancing compliance training content; and (iii) monitor and report on overdue training including escalating to relevant stakeholders.
• Deliver face-to-face training including Compliance inductions and working with the Compliance Advisory team to deliver ad-hoc training as and when required.
• Work with stakeholders to draft and issue compliance communications, as required, which may either be firm wide or targeted to certain subjects.
• Develop the firms Conflicts of Interest (COI) Framework including managing compliance processes.
• Develop the firms Personal Account Dealing (PAD) Framework including managing compliance processes (including oversight of the PAD tool).
• Maintain departmental registers and schedules, e.g., Breaches Registers, COI Registers, Complaints registers.
• Prepare Management Information reports as relevant to areas of responsibility.
• Supporting the Compliance Function in responding to ad-hoc requests

Skills and Experience

Mandatory

• Experience of working within a UK regulated environment e.g. SMCR, MIFID, MAR.
• Experience with drafting compliance policies and procedures.
• Experience with drafting training materials.
• Experience in managing conflicts of interest processes.
• Excellent presentation skills and attention to detail.
• Excellent interpersonal and communication skills.
• Minimum 5 – 8 years'* experience of working within a regulatory environment.
• Experience of working within a medium sized financial services firm
• Experience of dealing with various different stakeholders (Front Office, Legal, CoSec, Risk, IT, Finance, HR, etc)

Desirable:

• Experience of working in both a brokerage/ trading firm as well as a large financial institution (investment bank, corporate bank, asset manager, etc.)
• Compliance specific industry certifications including those awarded by the ICA or CISI.

Competencies

• A collaborative team player, approachable, self-sufficient and influences a positive work environment.
• Demonstrates curiosity and attention to detail
• Resilient in a challenging, fast-paced environment.
• Ability to take responsibility for own delivery in a fast pace and high-volume environment.
• Excels at building relationships, networking and influencing others.

Conduct Rules

You must:

• Act with integrity
• Act with due skill, care and diligence
• Be open and cooperative with the FCA, the PRA and other regulators
• Pay due regard to the interests of customers and treat them fairly
• Observe proper standard of market conduct
• Act to deliver good outcomes for retail customers

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.

*Applicants outside of this range will also be considered

Marex is fully committed to the elimination of unlawful or unfair discrimination and values the differences that a diverse workforce brings to the company.

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