Surveillance Compliance Officer (US)

About the Role The Surveillance Compliance Officer will focus on US activity, monitoring E-communications, voice, and trade surveillance to ensure compliance with US rules and protect Marex's reputation. The role supports audits, regulatory inquiries, and the implementation of policies across the US BD/FCM businesses, and acts as a liaison with regulators. What You'll Do

• Provide E-communications, Voice, and Trade Surveillance review services to US Broker Dealer (BD) and FCM business lines; review alerts, determine true/false positives, and document rationale.
• Escalate potential true positives to management with proper documentation, and notify the employee's supervisor or client of confirmed True Positive; follow up on open issues as needed.
• Produce metrics on Surveillance reviews 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, suggest enhancements to increase true positives or reduce false positives, and conduct calibration testing and documented UAT for new scenarios.
• Provide Surveillance expertise to BD and FCM Advisory Compliance, adding context and counsel to responses.
• Communicate and coordinate with Compliance and business colleagues to ensure efficient processes; maintain industry knowledge by following news events and regulator actions.
• Perform other Surveillance services as assigned and ensure compliance with regulatory requirements under the SEC, FINRA, NFA, CFTC and other applicable exchanges; adhere to risk framework and Marex Code of Conduct.
• Report breaches, escalate risk events, and contribute inputs to risk management processes. What We're Looking For
• Essential: Excellent understanding of US financial markets; data analysis and interpretation; proficiency with Microsoft Office; strong organizational and time-management skills; excellent English verbal and written communication; existing Surveillance experience in a financial markets context; experience in a regulated environment with knowledge of risk and compliance requirements.
• Desired: Bachelor's Degree in Finance, Economics, Business, or other related field. Nice to Have
• Optional: none listed in posting; preferred degree information included in Desired Compensation & Benefits
• Salary not disclosed in posting.