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Surveillance Compliance Officer - Paris or London based

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Marex

3mo ago

  • Job
    Full-time
    Mid Level
  • Banking & Finance
  • London

AI generated summary

  • You must have 3+ years in financial market surveillance, fluency in French and English, strong analytical skills, experience with surveillance systems, and a solid understanding of market abuse regulations.
  • You will monitor trading activity, investigate alerts, identify suspicious behavior, escalate findings, document results, improve surveillance processes, and collaborate on regulatory inquiries.

Requirements

  • Minimum of 3 years* working in a financial market related Surveillance role with a good understanding of Market Abuse rules, regulations, obligations and expectations.
  • Experience of compliance monitoring of trading desks is desirable.
  • Demonstrable experience working with Trade Surveillance systems and Alerts.
  • Fluency in French and English is a prerequisite for the role.
  • Good understanding and knowledge of financial markets, trading and financial products
  • Excellent data analysis and interpretation skills
  • Ability to draft reports in a concise, professional and succinct manner with good attention to detail and accuracy.
  • A strong understanding of Market Abuse and Conduct Rules and expectations within a financial regulatory environment
  • Ability to communicate clearly and effectively and to adapt quickly to new environments, situations, challenges, processes and tasks.
  • Capacity to analyse issues, behaviours and patterns and to synthesis and communicate findings and outcomes in an effective manner.
  • Experienced in dealing with exchanges and regulators.
  • Strong team player, experience of dealing with a variety of stakeholders.
  • Knowledge of Global Relay, SMARTS Broker, BTCA or equivalent surveillance tools
  • Educated to master level (business school/university) in a related subject
  • Competencies:
  • Excellent verbal and written communication skills
  • A collaborative team player, approachable, self-efficient and influences a positive work environment
  • 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
  • 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

Responsibilities

  • Monitoring trading activity, using industry recognised systems and solutions.
  • Timely and accurate investigation and disposition of market abuse and communication surveillance alerts and reports
  • Conduct reviews and analysis of trading activity to identify potentially suspicious activity and or behaviour/patterns.
  • Identification and escalating potential suspicious orders, trades and communications or any other suspicious activity to the relevant internal stakeholders/Senior Management in accordance with Firm policies and procedures.
  • Ensuring escalation results, supporting documents and findings are documented, recorded and reported to relevant stakeholders and management.
  • Proactive contribution to the continuous enhancements and improvement of the effectiveness and efficiency of the Surveillance system, solutions and processes.
  • Participate in new alerts implementation and calibration testing for new and existing alert types.
  • Participating and or assisting to request for information from Regulators, Exchange and external counterparties. in exchange / regulatory enquires from a surveillance perspective.
  • Proactively sharing industry / Market Abuse knowledge with the wider Surveillance team
  • Participating in other surveillance projects and work as required by the Head of Surveillance/and or the Head of Compliance France

FAQs

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

The primary focus is on monitoring Surveillance (Trade Activity and Communications) across a range of asset classes, including Cash Equity, Fixed Income, FX, Commodities, Listed Derivatives, structured products, and Swaps, on multiple exchanges and trading platforms.

Where is this job position based?

This position can be based in either Paris or London.

What are the key responsibilities of the Surveillance Compliance Officer?

Key responsibilities include monitoring trading activity, investigating market abuse alerts, conducting reviews of trading activity, escalating suspicious activities, documenting findings, enhancing surveillance processes, and participating in regulatory inquiries.

What is the required level of experience for applicants applying for this position?

Applicants must have a minimum of 3 years of experience in a financial market-related Surveillance role with a good understanding of Market Abuse rules and regulations.

Is fluency in multiple languages required for this role?

Yes, fluency in both French and English is a prerequisite for the role.

What technical skills are necessary for the Surveillance Compliance Officer position?

Candidates should have demonstrable experience working with Trade Surveillance systems and alerts, as well as good data analysis and interpretation skills. Familiarity with tools like Global Relay, SMARTS Broker, or BTCA is also preferred.

What educational background is essential for this role?

Candidates should be educated to master level in a related subject, such as business or finance, from a business school or university.

What competencies are emphasized for the ideal candidate?

Key competencies include excellent verbal and written communication skills, teamwork, resilience in fast-paced environments, strategic collaboration, curiosity, and the ability to build relationships effectively.

What conduct rules must the Surveillance Compliance Officer adhere to?

The officer must act with integrity, skill, care, and diligence; be cooperative with regulators; act in the interests of customers; observe proper standards of market conduct; and deliver good outcomes for retail customers.

What type of activities will the Surveillance Compliance Officer participate in?

The officer will participate in new alert implementation, calibration testing for alert types, and assist with requests for information from regulators and exchanges from a surveillance perspective.

How does the role contribute to the overall effectiveness of Marex SA?

This role contributes by enhancing surveillance systems and processes, ensuring compliance with market regulations, and facilitating proactive identification and reporting of suspicious activities, thus helping maintain operational effectiveness and integrity in trading activities.

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.