Surveillance Compliance Officer - Trade Surveillance - 6 month contract
On site
London, United Kingdom
Freelance
28-03-2025
Job Specifications
About Marex
Marex Group plc is a diversified global financial services platform, providing essential liquidity, market access and infrastructure services to clients in the energy, commodities and financial markets. It listed on Nasdaq Global Select Market in April 2024. With more than 35 offices in Europe, US and APAC, it 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.
For more information visit www.marex.com
Role Summary
Marex Financial Ltd are searching for Surveillance Compliance officer to join their team in London. The role focusses on Trade Surveillance across a variety of asset classes; 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 listed activity in Nasdaq SMARTS and assist in the wider Surveillance space
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.
Competencies
Strong knowledge of Trade Surveillance, MAR scenarios and vendors, specifically Nasdaq SMARTS
A collaborative team player, approachable, self-efficient
Demonstrates curiosity
Resilient in a challenging, fast-paced environment
Ability to take a high level of responsibility in a fast pace and high-volume 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
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.
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
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.
candidates outside of the indicated range will also be considered
Marex is fully committed to the elimination of unlawful or unfair discrimination and values the differences that a diverse workforce brings to the company.
About the Company
Marex (Nasdaq:MRX) is a diversified financial services platform. We provide essential liquidity, market access and infrastructure services to clients in energy, commodities and financial markets. With more than 40 offices across the world, access to all major exchanges, and technology-powered data and advisory services, Marex is your essential partner. marex.com/social-media-disclaimer Know more
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