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Surveillance Compliance Officer - Trade Surveillance - 6 month contract

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Marex

2mo ago

  • Job
    Full-time
    Senior Level
  • Legal
  • London

AI generated summary

  • You need 5+ years in a similar role, strong surveillance knowledge (Nasdaq SMARTS), stakeholder experience, excellent communication skills, and familiarity with compliance in a regulated environment.
  • You will conduct trade surveillance, escalate suspicious activities, ensure regulatory compliance, adhere to internal policies, report breaches, and provide input to risk management processes.

Requirements

  • 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
  • Excellent verbal and written communication skills
  • Experience working in a regulated environment and knowledge of the risk and compliance requirements associated with this.

Responsibilities

  • Conduct T+1 Trade Surveillance in Nasdaq SMARTS.
  • 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 duration of the contract for the Surveillance Compliance Officer position?

The contract duration is 6 months.

What primary tool will the Surveillance Compliance Officer use for Trade Surveillance?

The primary tool will be Nasdaq SMARTS.

Is previous experience in a regulated environment necessary for this role?

Yes, experience working in a regulated environment and knowledge of associated risk and compliance requirements are required.

What qualifications are preferred for this role?

A degree level education in a related subject is beneficial but not essential.

What are the main responsibilities of the Surveillance Compliance Officer?

Responsibilities include conducting T+1 Trade Surveillance, escalating suspicious activities, ensuring compliance with regulatory requirements, adhering to operational risk frameworks, and reporting breaches of policy.

What key competencies should a candidate possess for this role?

Candidates should have strong knowledge of Trade Surveillance, be collaborative team players, demonstrate curiosity, and excel at building relationships.

Are there any specific conduct rules that the Compliance Officer must follow?

Yes, the Compliance Officer must act with integrity, due skill and care, be cooperative with regulators, treat customers fairly, and observe proper standards of market conduct.

How many years of experience are required for applicants to this role?

A minimum of 5 years of transferable skills gained in a similar role or organization is required.

What attributes are valued in Marex's company culture?

Marex values respect, integrity, collaboration, developing their people, and adaptability.

Can candidates outside of the indicated experience range apply for this position?

Yes, candidates outside of the indicated range will also be considered.

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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.