Overview

Specific focus on delivering second line oversight of the Capital Markets Business activities across the Marex Group including Equities, Rates, FX, Credit, Financial Futures and Options and Listed derivatives by providing clear and timely regulatory advice, supporting business initiatives and promoting a compliance culture within the Marex Group. The role will include participation in the broader Group Compliance management initiatives, review and update of policies and procedures, delivery of training and implementation of controls.Marex is a diversified global financial services platform, providing essential liquidity, market access and infrastructure services to clients in the energy, commodities and financial markets. The Group provides comprehensive breadth and depth of coverage across four core services: Market Making, Clearing, Hedging and Investment Solutions and Agency and Execution. It has a major franchise in many major metals, energy and agricultural products, executing around 50 million trades and clearing 205 million contracts in 2022. The Group provides access to the world’s major commodity markets, covering a broad range of clients that include some of the largest commodity producers, consumers and traders, banks, hedge funds and asset managers. Marex was established in 2005 but through its subsidiaries can trace its roots in the commodity markets back almost 100 years. Headquartered in London with 36 offices worldwide, the Group has over 1,800 employees across Europe, Asia and America. Marex 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. Support the Head Capital Markets Compliance in ensuring the Marex Group adheres to and operates within its regulatory requirements, remains within stated Marex risk appetites, maintains good conduct, drives a strong culture and positive customer outcomes.Responsibilities

Develop and maintain relationships with the relevant Marex business groups including regular documented catchups with key business stakeholders.Ensure the timely identification of regulatory change affecting the wider Marex business groups, ensuring appropriate collaboration across all relevant Support Functions and the Business and assisting the Business with implementing the new regulation in a robust and controlled manner.Deliver ongoing compliance support to relevant business groups including the provision of advice on the application of global compliance policies, exchange rules and regulations.Identify regulatory or reputational risks and escalate to management for resolution.Support compliance team members on the delivery of timely compliance reviews and approval of new business-specific initiatives such as new transaction structures, new jurisdictions, new systems, etc., and complete (where relevant) Business Change Approval Committee (BCAC) compliance assessments.Work with Legal, Compliance colleagues and other support function staff across the region and in other regions to advise on and address cross-jurisdictional compliance matters.Provide SME support to Compliance Assurance colleagues by participating in the annual Compliance Risk Assessment process, and execution of assurance activities as they relate to the business groups.Design, drive and deliver specific desk-based thematic reviews.Act as a challenge and control function to the Business on compliance-related matters including the Business owned Risk and Control Assessment.Participate in the development and delivery of the annual regulatory training plan for the Business as well as ad hoc trainings, as needed.Provide Compliance input to control and regulatory incidents, Internal audits and reviews within the Business.Act as the Compliance lead on listed derivative exchange-related enquiries. Liaise with business groups to gather the relevant information and manage, investigate and draft responses to such exchange regulatory enquiries, including audit programmes.Perform the Compliance review of product/service related materials such as marketing materials, presentations and product brochures to ensure alignment with regulatory requirements.Ensure compliance with the company''s regulatory requirements under the FCA and adhere to the operational risk framework for your role, ensuring that all regulatory or company-determined parameters are complied with.Be a role model for demonstrating the highest level of integrity and conduct and reflect Company Values; comply with the FCA''s Code of Conduct; adhere to internal policies; report breaches; escalate risk events immediately; provide input to risk management processes.Qualifications and Experience

Extensive compliance advisory experience from a bank, brokerage or listed derivative exchange.Strong knowledge of Wholesale Financial Markets with a focus on Equities, Rates, FX and Credit.Strong knowledge and understanding of regulatory frameworks; experience in leading and liaising with Exchanges and Regulators is an advantage.Degree or equivalent; financial services industry qualifications preferable.Skilled at stakeholder management with ability to work with multiple internal stakeholders; strong collaborative relationships at all levels.Initiative and commitment to excellence with the ability to influence and develop new ideas.Creative problem-solving, multi-tasking, prioritization and deadline-driven in a pressurized environment.Strong conduct and culture focus with emphasis on good customer outcomes; excellent verbal and written communication skills.Collaborative, approachable, self-sufficient and able to foster a positive work environment; resilient in a fast-paced environment; capable of handling high-volume workloads.Strategic collaborator with insight and agility to anticipate future challenges and ensure operational effectiveness.Conduct Rules

Act with integrityAct with due skill, care and diligenceBe open and cooperative with the FCA, the PRA and other regulatorsPay due regard to the interests of customers and treat them fairlyObserve proper standards of market conduct

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