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
To support the Head of Compliance Assurance with the Compliance Assurance programme, leading reviews to verify the adequacy and effectiveness of controls in place to ensure the Firm’s compliance with applicable regulations.
Responsibilities
- Lead risk-based desk and thematic reviews as per the annual Compliance Assurance Plan, including scoping, testing and report drafting.
- Validate remediation actions stemming from assurance work, to ensure effective completion.
- Facilitate the Compliance Risk Assessments process which report on the regulatory risks and controls in place.
- Build strong and collaborative working relationships within Compliance globally and support the regions with Risk Assessment methodology and Assurance activities.
- Support the Compliance team by undertaking ad-hoc compliance-related activities such as regulatory information requests, investigations, or incident-related root cause analysis.
- Collaborate with key stakeholders in the business and risk & control functions for integrated and consistent risks assessments approach.
- Maintain accurate and complete records of all work carried out during reviews.
- Identify industry best practise and share insights with the rest of the team
Skills and Experience
- Minimum 6 years’ experience* working in a Compliance Monitoring/Assurance, Advisory or Audit role within a UK regulated financial institution (exposure to Structured Products, Exchange Traded Derivatives, OTC Derivatives would be beneficial but not essential).
- Broad knowledge of compliance regulation and in-depth understanding of compliance risks, assessments methodology and assurance activities.
- Excellent written, verbal and interpersonal skills.
- Proficient in Excel and Word, and experience in use of IT systems and databases.
- Experience or interest in data and analytics beneficial
Competencies
- A collaborative team player, that is approachable, self-efficient and influences a positive work environment
- Skilled at stakeholder management and ability to work closely with multiple internal stakeholders at all levels.
- Proactive, self-motivated and resilient in a fast-paced environment.
- Able to multi-task, prioritize and deliver high quality results with tight deadlines.
- Demonstrates curiosity
- Strategic collaborator with insight and agility, able to anticipate future challenges, ensuring operational effectiveness
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.
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