Compliance Officer BrokerDealer Advisor Equities and Options

Diversified. Resilient. Dynamic.

Marex is a global financial services platform, providing essential liquidity, market access and infrastructure services to clients in the energy, commodities and financial markets.

The Group provides comprehensive breadth and depth of coverage across four core services: Market Making, Clearing, Hedging and Investment Solutions and Agency and Execution. It has a major franchise in many major metals, energy and agricultural products, executing around 50 million trades and clearing 205 million contracts in 2022. The Group provides access to the world's major commodity markets, covering a broad range of clients that include some of the largest commodity producers, consumers and traders, banks, hedge funds and asset managers.

With more than 35 offices around the globe, and over 2,300 dedicated people enabling access to exchanges and technology-powered services.

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Purpose of Role:

Marex is a seeking a Broker-Dealer Compliance Advisor who is meant to be a subject matter expert in U.S. Broker-Dealer regulation providing compliance advisory services, with a strong background on Equities and Listed Options trading activities, as well as knowledge of various regulatory reporting requirements. Such guidance is tailored to resolving issues with consideration to regulatory requirements, regulatory and firm risk, and industry best practices.

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.

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 Marex's 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.

Responsibilities:

• Support the Head of U.S. Broker-Dealer Compliance.
• Provide compliance advisory support to front office teams across day-to-day business activities.
• Review, draft and enhance U.S. Broker-Dealer Policies and Procedures and Written Supervisory Procedures.
• Review new business initiatives, products, and markets to ensure full compliance before launch through the BCAC management review process.
• Collaborate to ensure Compliance Calendar deadlines are achieved.
• Ensuring compliance with the company's regulatory requirements under U.S. Broker-Dealer regulatory bodies (e.g. FINRA, SEC).
• 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.
  • 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 : **
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**Competencies
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• Demonstrate 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.
• 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.

Skills and Experience **
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• At leaset eight (8) years of financial industry experience in a legal or compliance role.

• Bachelor's Degree in Finance, Economics, Business, or other related field is required (JD or other graduate degree desired).

• Experienced in U.S. Broker-Dealer Regulatory matters.

• Previous Compliance experience within financial services.

• Ability to work in a matrix reporting organization.

• Previous Compliance experience within financial services.

• Excellent verbal and written communication skills.

• Experience working in a regulated environment and knowledge of the risk and compliance requirements associated with this.

Salary Range: $150,000 to $185,000 per year base salary and eligible for discretionary bonus.

Marex Benefits for 2026

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.

Marex is fully committed to the elimination of unlawful or unfair discrimination and values the differences that a diverse workforce brings to the company.

We are an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability status, protected veteran status, or any other characteristic protected by the law.

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