Surveillance Compliance Officer (US)
About this role
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.
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