Sao Paulo, BR,

Compliance,

Full-Time

For more information visit https://www.marex.com/

In the ever-evolving financial landscape, Compliance has become increasingly complex. Marex must navigate a wide range of regulatory requirements to maintain licenses and protect Marexs reputation. Compliance and Compliance Officers play a crucial role in ensuring that all activities are conducted in accordance with the law.

Compliance Officers monitor transactions, conduct regular audits, train employees on regulatory requirements, and implement policies and procedures to minimize non-compliance risks. Compliance efforts are instrumental in fostering a compliant culture within Marex and ensuring that all employees understand their responsibilities.

Furthermore, Compliance is a bridge between Marex and regulatory authorities. Compliance is responsible for responding to inquiries, providing necessary documentation, and cooperating with regulatory examinations and investigations. This collaboration is essential in maintaining a healthy and transparent relationship between Marex and regulatory bodies.

Note: Primary focus is on US activity and requires knowledge of US rules and familiarity with US regulators. Fluent English is a must.

Responsibilities

Provide E-communications, Voice, and Trade Surveillance review services to US Broker Dealer (BD) and FCM business lines
   o Review alerts with due consideration in a timely fashion, maintaining queues within guidelines
       Use technical expertise and Surveillance toolset to make determinations on whether or not an alert is a true positive or false positive, closing false positives with proper documentation including explanatory reasoning
       Seek additional clarifying information from Clients/Traders as appropriate
       Escalate potential true positives to management with proper documentation, including rationale
Notify Employees Supervisor or Client of confirmed True Positive
   o Follow up on open issues as needed
Produce metrics on Surveillance reviews to the Head of US Surveillance
   o Clearly delineated by date, business line, desk, alert type, client, and trader
Participate in ongoing improvement of the Surveillance function
  o Testing of trade data and OMS/EMS systems to ensure the quality and completeness of data being input to the Surveillance tools
   o Actively suggesting potential enhancements that would
       Increase discovery of True Positives
       Reclassify False Negatives to True Positives
       Reduce the quantity of False Positives without decreasing True Positives
   o Calibration testing for new and existing scenarios
   o Documented UAT Review of new scenarios
Provide Surveillance expertise to BD and FCM Advisory Compliance, adding context and counsel to the objective response
Communicate and coordinate with colleagues in Compliance and the business to ensure efficacious processes
Maintain and grow industry knowledge by actively following relevant news events and regulator action
Other Surveillance services as assigned
Ensuring compliance with the companys regulatory requirements under the SEC, FINRA, NFA, CFTC and other applicable exchanges.
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 Marexs 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.

Skills and Experience

Essential:
Excellent understanding of US financial markets
Data analysis and interpretation skills
Proficiency in Microsoft Office products (Word, Excel, Outlook, etc)
Organizational and time-management skills
Excellent English verbal and written communication skills
Existing Surveillance experience in a financial markets context
Experience working in a regulated environment and knowledge of the risk and compliance requirements associated with this.

Desired:
Bachelors Degree in Finance, Economics, Business, or other related field

Competencies

Demonstrable curiosity
Resilience in a challenging, fast-paced environment
Ability to communicate across geography, business function, corporate level, and experience set
Unimpeachable character with integrity that guides all decisions
Excellence in building relationships, networking and influencing others
Self-starter with an ability to prioritize and manage multiple deliverables from beginning to completion
A collaborative team player, approachable, self-efficient and influences a positive work environment
Strategic collaborator with insight and agility, able to anticipate future challenges, ensuring operational effectiveness

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 clients 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.

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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