Compliance Assurance Lead

Job title: Compliance Assurance Lead

About the Role The role supports the Head of Compliance Assurance by leading confidential investigations (including whistleblowing events) and delivering the Compliance Assurance programme through risk reviews and assessments. It requires strong legal and investigative expertise, robust stakeholder management and the ability to drive high-quality assurance outputs across Marex globally.

What You'll Do

• Lead, plan and/or manage complex investigations, ensuring they adhere to relevant legal frameworks, company policies and whistleblowing rules; triage whistleblowing reports, gather and analyse evidence, and interview witnesses.
• Prepare detailed, high-quality investigation reports with clear findings and recommendations for management.
• Lead risk-based desk and thematic reviews per the annual Compliance Assurance Plan, including scoping, testing, reporting and communicating findings to senior stakeholders.
• Ensure timely delivery of high-quality testing reports with value adding insights.
• Lead Compliance Risk Assessment rollouts and annual refreshes globally to report on regulatory risks and controls across Marex entities.
• Assist with production of the Annual Compliance Assurance Plan.
• Validate remediation actions stemming from assurance work to ensure effective completion.
• Build strong, collaborative relationships within Compliance globally and support the regions with Risk Assessment methodology and Assurance activities.
• Support the Head of Compliance Assurance and wider team via ad-hoc regulatory information requests, investigations, or incident-related root cause analysis.
• Collaborate with key stakeholders in the business and risk & control functions for integrated risk assessment approach.
• Coach, mentor and develop junior staff.
• Identify industry best practice and share insights with the rest of the team.

What We're Looking For

• Must be a qualified solicitor with experience of investigations in UK regulated financial services.
• Extensive experience working in an Investigations, Compliance Monitoring/Assurance, Advisory or Audit role (10+ years).
• Broad knowledge of compliance regulation, compliance risks assessments methodology and assurance activities.
• In-depth knowledge of market abuse regulation, risks and surveillance would be an advantage.
• Highly skilled influencer, adept at relationship-building.
• Ability to handle confidential, complex matters ensuring whistleblowing regulations are adhered to at all times.
• Proactive problem-solver, self-motivated and resilient in a fast-paced environment.
• Ability, patience and enthusiasm to coach, mentor and develop junior staff.
• Able to multi-task, prioritize and deliver high quality results with tight deadlines.
• Ability to navigate a complex organisation.
• Excellent written, verbal and interpersonal skills.
• Proficient in Excel and Word, and experience in use of IT systems and databases.
• Knowledge of Structured Products, Exchange Traded Derivatives, OTC Derivatives would be beneficial but not essential.
• Experience or interest in data, analytics and AI beneficial.

Nice to Have

• Knowledge of Structured Products, Exchange Traded Derivatives, OTC Derivatives would be beneficial but not essential.
• Experience or interest in data, analytics and AI would be beneficial.