Surveillance Compliance Officer

About the Role Marex is recruiting for a Surveillance Compliance Officer to join the team at our New York office. The role will focus on Trade Surveillance (Trade Activity and Communications) across asset classes including Cash Equity, Fixed Income, Commodities and Derivatives (Futures, Options, Swaps) on multiple exchanges and venues, with exposure to broader compliance activities in a market-leading firm.

What You'll Do

• Provide Trade Surveillance, E-communications, and Voice review services to US Broker Dealer (BD) and FCM (Futures) business lines
• Review alerts with due consideration in a timely fashion, maintaining queues within guidelines
• Use technical expertise and surveillance toolsets to determine true positives vs false positives, closing false positives with proper documentation including explanatory reasoning
• Seek additional clarifying information from Clients/Traders as appropriate
• Escalate potential true positives to management with proper documentation, including rationale
• Notify Supervisors or Clients of confirmed True Positives
• 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
• Proactively suggest enhancements to increase discovery of True Positives and reduce False Positives
• Calibrate testing for new and existing scenarios; document UAT reviews
• Provide Surveillance expertise to BD and FCM Advisory Compliance; coordinate with Compliance and business
• Maintain industry knowledge by following relevant news and regulator actions
• Ensure compliance with SEC, FINRA, NFA, CFTC and other exchanges; adhere to operational risk framework and Marex Code of Conduct
• Report breaches, escalate risk events, and participate in risk management processes
• The Company may require you to carry out other duties from time to time

What We're Looking For

• Demonstrable curiosity and resilience in a challenging, fast-paced environment
• Ability to communicate across geography, business function, corporate level, and experience set
• Impeccable integrity and character that guides all decisions
• Excellence in building relationships, networking and influencing others
• Self-starter with the ability to prioritize and manage multiple deliverables; collaborative team player
• Strategic collaborator with insight and agility, able to anticipate needs