Senior Compliance Officer - Regulatory

Marex

  • London
  • Permanent
  • Full-time
  • 1 month ago
About MarexMarex 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.In supporting the Firm in meeting its regulatory obligations, Compliance provides expert advice, oversight and thought leadership in relation to relevant rules and regulations. Compliance is responsible for overseeing the adherence to regulatory requirements and expectations through compliance policies, advisory activity, training, monitoring, surveillance and supporting the firm to implement regulatory change.Central Compliance are responsible for the development and implementation of compliance policies, training, regulatory registrations, exchange returns, complaints handling, conflicts management, regulatory interactions, regulatory developments, audit requests and whistleblowing framework oversight.For more information visitRole SummaryThe Senior Compliance Officer – Regulatory Compliance role supports the Head of Central Compliance with the day-to-day operation of the Central Compliance function.The role will primarily focus on and support the following key areas which forms part of the Compliance Operations office: * Regulatory requests
  • Regulatory development and horizon scanning
  • Regulatory License & Permissions
  • Audit requests
Responsibilities
  • Manage and own the regulatory process for responding to regulator requests including working with internal stakeholders to draft responses
  • Respond to and track both internal and external audit requests including carrying out quality control for responses.
  • Support regulator onsite visits or reviews including meeting scheduling and participation (where required) as well as logistics preparation and co-ordination.
  • Control the submission of management information responding to regulatory or audit requests.
  • Produce management information reporting as input into various governing committees and /or up to senior management.
  • Support business preparedness for onsite examinations or audits.
  • Own the tracking of regulatory developments and horizon scanning processes including managing the group regulatory roadmap and related management information.
  • Participate and engage with industry working groups and support internal working groups on reviewing regulatory developments
  • Maintain the group legal entity license and permissions map and perform periodic reviews.
Skills and ExperienceMandatory
  • Experience with drafting regulatory responses and dealing with senior stakeholders.
  • Excellent interpersonal and communication skills.
  • Minimum 5 – 8 years' experience* of working within a regulatory environment.
  • Experience of working within a UK regulated environment e.g. SMCR, MIFID, MAR
  • Experience of working within a medium sized financial services firm
  • Experience of dealing with various different stakeholders (Legal, CoSec, Risk, Front Office, IT, Finance, HR, etc)
  • Experience of supporting the day-to-day operations of a Compliance Function
Desirable:
  • Experience of working in both a brokerage/ trading firm as well as a large financial institution (investment bank, corporate bank, asset manager,etc.)
  • Compliance specific industry certifications including those awarded by the ICA or CISI.
Competencies
  • A collaborative team player, approachable, self-sufficient and influences a positive work environment
  • Demonstrates curiosity and attention to detail
  • Resilient in a challenging, fast-paced environment
  • Ability to take responsibility for own delivery in a fast pace and high-volume environment
  • Excels at building relationships, networking and influencing others
Conduct RulesYou 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 ValuesActing 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.Marex is fully committed to the elimination of unlawful or unfair discrimination and values the differences that a diverse workforce brings to the company.*experience outside of this range will also be considered#LI-DG1

Marex