Broker-Dealer Compliance Advisor (Equities & Options)
About this role
About the Role Marex is seeking a Broker-Dealer Compliance Advisor (focusing on Equities and Options) who is 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.
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