Senior Surveillance Compliance Officer

About the Role Senior Surveillance Compliance Officer based in London. The role focuses on Trade Surveillance for Equities and offers exposure to broader compliance activities within Marex, a market-leading commodity broker. You will monitor trading activity, escalate suspicious findings to management and regulators, and continuously develop the surveillance program to address emerging risks. What You'll Do

• Conduct T+1 Trade Surveillance in Nasdaq Trade Surveillance (SMARTS) and other tools as required for Equities.
• Escalate suspicious activity findings to management and report to regulators.
• Develop the surveillance program through continuous control evaluation and enhancement and development of new controls where new risks emerge or in response to business change initiatives.
• Engage with the businesses trading Equities to ensure detailed understanding of trade flows, booking models and operating models.
• Identify trends and patterns that require further evaluation and discussion with Compliance Advisory and/or Business management.
• Alert threshold calibration to ensure the effective and efficient operation of controls covering Equities.
• Collaborate with wider team to ensure two-way knowledge transfer and appropriate cover during absences.
• Ensure appropriate audit trails and documentation in place to describe work undertaken and decisions reached.
• Ensure compliance with the company’s regulatory requirements under the FCA, NFA, AMF, AFM, MAS and any other relevant regulatory bodies.
• 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 the FCA’s Code of Conduct and 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 your manager as required What We're Looking For
• Transferable skills gained in a similar role / organisation.
• Strong team player, experience of dealing with a variety of stakeholders.
• Strong Surveillance knowledge, including regulation, tools used (Nasdaq SMARTS or similar surveillance tools is essential).
• Educated to degree level in a related subject would be beneficial, but not essential.
• Experience working in a regulated environment and knowledge of the risk and compliance requirements associated with this.
• Knowledge of programming languages (e.g. VBA, Python) for tactical control development where required beneficial (not essential).
• Knowledge of MAR scenarios and vendors; ability to apply regulatory concepts to surveillance activities.
• Excellent verbal and written communication skills.
• A collaborative team player, approachable, self-efficient and influences a positive work environment.
• Demonstrates curiosity and resilience in a challenging, fast-paced environment.
• Ability to take a high level of responsibility in a fast pace and high-volume environment.
• Excels at building relationships, networking and influencing others.
• Strategic collaborator with insight and agility, able to anticipate future challenges, ensuring operational effectiveness. Nice to Have
• Knowledge of Nasdaq Trade Surveillance (SMARTS) beneficial.
• MAR scenarios and vendors knowledge beneficial.
• Programming knowledge (VBA, Python) beneficial. Compensation & Benefits
• Salary and benefits not specified in the posting.