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Surveillance Compliance Officer - Communications - 6 month contract

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Marex

2mo ago

  • Job
    Full-time
    Junior Level
  • Legal
  • London

AI generated summary

  • You need 1+ years in a similar role, strong communication skills, surveillance knowledge (Global Relay), experience in regulated environments, and the ability to build relationships effectively.
  • You will conduct communications surveillance, escalate suspicious findings, ensure regulatory compliance, adhere to policies, report breaches, and provide input for risk management processes.

Requirements

  • 1+ years* transferable skills gained in a similar role / organisation
  • Strong team player, experience of dealing with a variety of stakeholders
  • Surveillance knowledge, including regulation, tools used (Global Relay or equivalent)
  • 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.
  • Knowledge of Communications Surveillance, specifically Global Relay
  • A collaborative team player, approachable, self-efficient
  • Demonstrates curiosity
  • Resilient in a challenging, fast-paced environment
  • Excels at building relationships, networking and influencing others
  • Strategic collaborator with insight and agility, able to anticipate future challenges, ensuring operational effectiveness
  • 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

Responsibilities

  • Conduct Communications Surveillance in primarily Global Relay.
  • Escalating any suspicious activity findings to management and reporting to regulators.
  • 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 Compliance and/ or your supervisor as required.
  • To escalate risk events immediately.
  • To provide input to risk management processes, as required.

FAQs

What is the primary focus of the Surveillance Compliance Officer role at Marex?

The primary focus of the Surveillance Compliance Officer role is conducting Communications Surveillance and assisting in the wider Surveillance space across various asset classes.

What experience is required for the Surveillance Compliance Officer position?

The position requires 1+ years of transferable skills gained in a similar role or organization, with experience in surveillance and dealing with a variety of stakeholders.

Which regulatory bodies must the Surveillance Compliance Officer ensure compliance with?

The Surveillance Compliance Officer must ensure compliance with regulatory requirements under the FCA, NFA, AMF, AFM, MAS, and any other relevant regulatory bodies.

What tools will the Surveillance Compliance Officer primarily use?

The primary tool used for Communications Surveillance will be Global Relay.

What are the key competencies needed for this role?

Key competencies include knowledge of Communications Surveillance, being a collaborative team player, demonstrating curiosity, resilience in a fast-paced environment, and the ability to build relationships and influence others.

Is a degree required for this position?

A degree in a related subject would be beneficial, but it is not essential for the role.

What type of environment does this role operate in?

This role operates in a regulated environment, requiring knowledge of risk and compliance requirements.

How does Marex define its company values?

Marex defines its company values based on respect for clients, integrity in business practices, collaboration within teams, development of their people, and being adaptable and nimble to client needs.

What are the expectations regarding conduct for the Surveillance Compliance Officer?

The expectations include acting with integrity, due skill, care and diligence, being open and cooperative with regulators, treating customers fairly, observing proper market conduct, and delivering good outcomes for retail customers.

Is this a permanent position at Marex?

No, this position is a 6-month contract role.

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Marex

Marex is a diversified global financial services platform connecting clients to energy, commodities & financial markets.

Finance
Industry
1001-5000
Employees
2005
Founded Year

Mission & Purpose

Marex is a leading global commodities and financial markets brokerage firm. With a strong presence in the UK and offices worldwide, Marex offers a comprehensive range of services including execution, clearing, and advisory services to institutional clients, corporations, and individual traders. Their mission is to empower clients with the tools, insights, and support needed to navigate and thrive in the complex world of commodities and financial markets. Marex's purpose is to provide innovative solutions and unrivalled expertise, enabling clients to make informed decisions, manage risks effectively, and seize opportunities in the ever-changing market landscape. Through their dedication to excellence and commitment to client success, Marex plays a vital role in facilitating global trade, investment, and hedging activities, while fostering long-term relationships built on trust and integrity.

Culture & Values

  • 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 strive to 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 team work. 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 & 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.