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.

Role Summary

Marex Australia Pty Ltd is searching for Surveillance Compliance officer to join their team in Sydney. The role focusses on Trade Surveillance across a variety of asset classes and across APAC region; with an opportunity to gain exposure to a wider range of compliance activities at a market-leading commodity broking company. The successful candidate will focus on the APAC Surveillance coverage, including but not limited to ASX24 / SFE, SGX and HKSE.

Overall Responsibilities

• Conduct Trade Surveillance of ASX24 / SFE, SGX and HKSE using Nasdaq SMARTS.
• Escalating any suspicious activity findings to management and reporting to regulators.

• Ensuring compliance with the company’s regulatory requirements. Including but not limited to  under the ASX 24 Operating Rules and ASIC Market Integrity Rules (Futures Markets) 2017, SGX DT and DC Rules  and rules of 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 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.
• The Company may require you to carry out other duties from time to time

Competencies, Skills and Experience

Competencies

• Knowledge of Surveillance, specifically Nasdaq SMARTS
• Knowledge of the ASX 24 market, particularly electricity contracts
• 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

  Skills and Experience

• 3+ years transferable skills gained in a similar role / organization, although experience outside of this range will also be considered
• Strong team player, experience of dealing with a variety of stakeholders
• Surveillance knowledge, including regulation, tools used (Nasdaq SMARTS 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.

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 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.

Conduct Rules

You must:

• Act with integrity
• Act with due skill, care and diligence
• Be open and cooperative with the ASX, ASIC and AUSTRAC and other regulators
• Pay due regard to the interests of customers and treat them fairly
• Observe proper standard of market conduct

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