Compliance Officer, Broker-Dealer Advisor (Equities and Options) - VN2750

Compliance Officer, Broker-Dealer Advisor (Equities and Options) - VN2750 New York, NY Compliance Full-Time 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. Ensure 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. Ensure full awareness of and adherence to internal policies that relate to you, your role, or any other activities for which you have responsibility. 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, Skills and Experience Competencies 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 At least eight (8) years of financial industry experience in a legal or compliance role. Bachelor’s Degree in Finance, Economics, Business, or another related field is required (JD or other graduate degree desired). Experience with equity options. Experience in U.S. Broker‑Dealer regulatory matters. Previous compliance experience within financial services. Ability to work in a matrix reporting organization. Excellent verbal and written communication skills. Experience working in a regulated environment and knowledge of the risk and compliance requirements associated with this. Salary and Benefits Salary Range: $150,000 to $185,000 per year base salary and eligible for discretionary bonus. 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. #J-18808-Ljbffr Marex Group