Marex Spectron
Compliance Officer – Exam and Inquiry Management
Marex Spectron, Chicago, Illinois, United States, 60290
Diversified. Resilient. Dynamic.
Marex is a global financial services platform, providing essential liquidity, market access and infrastructure services to clients in the energy, commodities and financial markets.
The Group provides comprehensive breadth and depth of coverage across four core services: Market Making, Clearing, Hedging and Investment Solutions and Agency and Execution. It has a major franchise in many major metals, energy and agricultural products, executing around 50 million trades and clearing 205 million contracts in 2022. The Group provides access to the world’s major commodity markets, covering a broad range of clients that include some of the largest commodity producers, consumers and traders, banks, hedge funds and asset managers.
With more than 35 offices around the globe, and over 2,300 dedicated people enabling access to exchanges and technology-powered services.
Purpose of Role:
The Compliance Officer – Exam and Inquiry Management is the first point of contact for regulatory inquiries. The role tracks, compiles, and submits responses ensuring each inquiry is closed.
Compliance Officers monitor transactions, conduct regular audits, train employees on regulatory requirements, and implement policies and procedures to minimize non-compliance risks. Compliance efforts are instrumental in fostering a compliant culture within Marex and ensuring that all employees understand their responsibilities.
Furthermore, Compliance is a bridge between Marex and regulatory authorities. Compliance is responsible for responding to inquiries, providing necessary documentation, and cooperating with regulatory examinations and investigations. This collaboration is essential in maintaining a healthy and transparent relationship between Marex and regulatory bodies.
Responsibilities:
Responsible for regulatory inquiries including tracking, compiling, and submitting responses and reviewing all responses/documentation received to ensure completion.
Analyze regulatory requests to evaluate initial risk to the firm, regulatory gaps, and business lines involved.
Identify regulatory gaps in responses and escalate effectively.
Track regulatory requests and responses and manage timeline for each which includes managing regulator expectations and working within Marex to meet those expectations.
Guide internal teams to ensure they are well prepared for regulatory meetings/responses.
Create and maintain database for management reporting of regulatory inquiries, examinations, and issue tracking.
Review and approve promotional material for compliance with NFA rules.
Ensuring compliance with the company’s regulatory requirements under the SEC, FINRA, NFA, CFTC and other applicable exchanges.
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 Marex’s Code of Conduct.
The Company may require you to carry out other duties from time to time.
Competencies, Skills and Experience:
Bachelor’s degree in Finance, Economics, Business, or other related field.
Familiar with the requirements setting up Guaranteed Introducing Brokers with the regulators.
Existing Regulatory Inquiry and Exam experience in a financial markets context.
Excellent verbal and written communication skills.
Data analysis and interpretation skills.
Organizational and time management skills.
Proficient in Microsoft Office (Word, Excel, Outlook, etc).
Experience working in a regulated environment and knowledge of the risk and compliance requirements associated with this.
Company Values:
Acting as a role model for the values of the Company:
Respect
– Clients are at the heart of our business, with superior execution and superb client service the foundation of the firm. We respect our clients and always treat them fairly.
Integrity
– Doing business the right way is the only way. We hold ourselves to a high ethical standard in everything we do – our clients expect this and we demand it of ourselves.
Collaborative
– We work in teams – open and direct communication and the willingness to work hard and collaboratively are the basis for effective teamwork. Working well with others is necessary for us to succeed at what we do.
Developing our People
– Our people are the basis of our competitive advantage. We look to “grow our own” and make Marex the place ambitious, hardworking, talented people choose to build their careers.
Adaptable and Nimble
– Our size and flexibility is an advantage. We are big enough to support our client’s various needs, and adaptable and nimble enough to respond quickly to changing conditions or requirements.
Marex is fully committed to the elimination of unlawful or unfair discrimination and values the differences that a diverse workforce brings to the company.
We are an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability status, protected veteran status, or any other characteristic protected by the law.
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Marex is a global financial services platform, providing essential liquidity, market access and infrastructure services to clients in the energy, commodities and financial markets.
The Group provides comprehensive breadth and depth of coverage across four core services: Market Making, Clearing, Hedging and Investment Solutions and Agency and Execution. It has a major franchise in many major metals, energy and agricultural products, executing around 50 million trades and clearing 205 million contracts in 2022. The Group provides access to the world’s major commodity markets, covering a broad range of clients that include some of the largest commodity producers, consumers and traders, banks, hedge funds and asset managers.
With more than 35 offices around the globe, and over 2,300 dedicated people enabling access to exchanges and technology-powered services.
Purpose of Role:
The Compliance Officer – Exam and Inquiry Management is the first point of contact for regulatory inquiries. The role tracks, compiles, and submits responses ensuring each inquiry is closed.
Compliance Officers monitor transactions, conduct regular audits, train employees on regulatory requirements, and implement policies and procedures to minimize non-compliance risks. Compliance efforts are instrumental in fostering a compliant culture within Marex and ensuring that all employees understand their responsibilities.
Furthermore, Compliance is a bridge between Marex and regulatory authorities. Compliance is responsible for responding to inquiries, providing necessary documentation, and cooperating with regulatory examinations and investigations. This collaboration is essential in maintaining a healthy and transparent relationship between Marex and regulatory bodies.
Responsibilities:
Responsible for regulatory inquiries including tracking, compiling, and submitting responses and reviewing all responses/documentation received to ensure completion.
Analyze regulatory requests to evaluate initial risk to the firm, regulatory gaps, and business lines involved.
Identify regulatory gaps in responses and escalate effectively.
Track regulatory requests and responses and manage timeline for each which includes managing regulator expectations and working within Marex to meet those expectations.
Guide internal teams to ensure they are well prepared for regulatory meetings/responses.
Create and maintain database for management reporting of regulatory inquiries, examinations, and issue tracking.
Review and approve promotional material for compliance with NFA rules.
Ensuring compliance with the company’s regulatory requirements under the SEC, FINRA, NFA, CFTC and other applicable exchanges.
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 Marex’s Code of Conduct.
The Company may require you to carry out other duties from time to time.
Competencies, Skills and Experience:
Bachelor’s degree in Finance, Economics, Business, or other related field.
Familiar with the requirements setting up Guaranteed Introducing Brokers with the regulators.
Existing Regulatory Inquiry and Exam experience in a financial markets context.
Excellent verbal and written communication skills.
Data analysis and interpretation skills.
Organizational and time management skills.
Proficient in Microsoft Office (Word, Excel, Outlook, etc).
Experience working in a regulated environment and knowledge of the risk and compliance requirements associated with this.
Company Values:
Acting as a role model for the values of the Company:
Respect
– Clients are at the heart of our business, with superior execution and superb client service the foundation of the firm. We respect our clients and always treat them fairly.
Integrity
– Doing business the right way is the only way. We hold ourselves to a high ethical standard in everything we do – our clients expect this and we demand it of ourselves.
Collaborative
– We work in teams – open and direct communication and the willingness to work hard and collaboratively are the basis for effective teamwork. Working well with others is necessary for us to succeed at what we do.
Developing our People
– Our people are the basis of our competitive advantage. We look to “grow our own” and make Marex the place ambitious, hardworking, talented people choose to build their careers.
Adaptable and Nimble
– Our size and flexibility is an advantage. We are big enough to support our client’s various needs, and adaptable and nimble enough to respond quickly to changing conditions or requirements.
Marex is fully committed to the elimination of unlawful or unfair discrimination and values the differences that a diverse workforce brings to the company.
We are an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability status, protected veteran status, or any other characteristic protected by the law.
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