Compliance Officer - Surveillance

Marex is recruiting for a Surveillance Compliance Officer to join the team in New York. The role will primarily focus on Surveillance (Trade Activity and Communications) across a range of asset classes—Cash Equity, Fixed Income, Commodities, and Derivatives (Futures, Options, Swaps)—on multiple exchanges, trading platforms, and venues. The position offers exposure to a wider range of compliance activities at a market‑leading firm. Compliance Officers monitor transactions, conduct audits, train employees on regulatory requirements, and implement policies and procedures to minimize non‑compliance risks. They build a compliant culture, respond to inquiries from regulators, provide documentation, and cooperate with regulatory examinations and investigations. Responsibilities Provide E‑communications, Voice, and Trade Surveillance review services to the US Broker Dealer (BD) and FCM business lines. Review alerts in a timely fashion, maintain queues within guidelines. Use technical expertise and the Surveillance toolset to determine whether an alert is a true positive or false positive; close false positives with proper documentation and reasoning. Seek additional clarifying information from clients or traders as appropriate. Escalate potential true positives to management with documentation and rationale. Notify the employee’s supervisor or client of a confirmed True Positive. Follow up on open issues as needed. Produce metrics on Surveillance reviews for the Head of US Surveillance, clearly delineated by date, business line, desk, alert type, client, and trader. Participate in ongoing improvement of the Surveillance function. Test trade data and OMS/EMS systems to ensure data quality and completeness for Surveillance tools. Suggest potential enhancements to increase discovery of True Positives, reclassify False Negatives to True Positives, and reduce the quantity of False Positives without decreasing True Positives. Conduct calibration testing for new and existing scenarios. Document UAT reviews of new scenarios. Provide Surveillance expertise to BD and FCM Advisory Compliance, adding context and counsel to the objective response. Communicate and coordinate with colleagues in Compliance and the business to ensure efficient processes. Maintain and grow industry knowledge by actively following relevant news events and regulator actions. Perform other Surveillance services as assigned. Ensure compliance with regulatory requirements under the SEC, FINRA, NFA, CFTC, and other applicable exchanges. Adhere to the operational risk framework for the role, ensuring all regulatory or company‑determined parameters are complied with. Model highest standards of integrity and conduct and reflect company values. At all times comply with Marex’s Code of Conduct: Understand and adhere to internal policies related to the role and responsibilities. Report any breaches of policy to Compliance and/or your supervisor as required. Escalate risk events immediately. Provide input to risk management processes, as required. The company may require you to carry out other duties from time to time. Competencies Demonstrable curiosity. Resilience in a challenging, fast‑paced environment. Ability to communicate across geography, business function, corporate level, and experience set. Unimpeachable character with integrity guiding all decisions. Excellence in building relationships, networking, and influencing others. Self‑starter with the ability to prioritize and manage multiple deliverables from start to finish. Collaborative team player, approachable, self‑efficient, and influencer of a positive work environment. Strategic collaborator with insight and agility, able to anticipate future challenges and ensure operational effectiveness. Essential Skills and Experience Excellent understanding of financial markets. Data analysis and interpretation skills. Proficiency in Microsoft Office products (Word, Excel, Outlook, etc.). Organizational and time‑management skills. Excellent verbal and written communication skills. Existing Surveillance experience in a financial markets context. Experience working in a regulated environment and knowledge of the risk and compliance requirements associated with that environment. Desired Skills and Experience Bachelor’s Degree in Finance, Economics, Business, or related field. Experience working for a regulated exchange or regulator. Experience developing strategic Artificial Intelligent (AI) solutions for Surveillance or Compliance. FINRA Series 7, 24; NFA Series 3; Swaps Proficiency Long Track. CAMS Certification. Salary Range Base salary of $125,000 to $175,000 per year, with eligibility for discretionary bonus. Company Values Be collaborative – fostering teamwork across the organization to better respond to challenges and deliver for clients. Act with integrity – pride ourselves on honesty and high ethical standards, applying these values to all interactions. Be adaptable and entrepreneurial – embrace market changes to increase efficiency and create innovative solutions. Be respectful – treat colleagues and clients fairly, demonstrating respect in all actions. Nurture talent – grow our own talent, offer stretch opportunities, take risks, and commit to career development. Equal Opportunity Statement Marex is fully committed to the elimination of unlawful or unfair discrimination and values the differences 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. #J-18808-Ljbffr