Marex has unique access across markets with significant share globally both on and off exchange. The depth of knowledge amongst its teams and divisions provides its customers with clear advantage, and its technology-led service provides access to all major exchanges, order-flow management via screen, voice and DMA, plus award-winning data, insights and analytics.
Role Summary
To support the global Head of Compliance Assurance, and the regional Heads of Compliance for APAC and MENA, with the delivery of the Compliance Assurance program by being the SME for Testing and Monitoring for APAC and MENA. All employees are expected to understand and comply with any Sarbanes Oxley operational requirements relevant to their role.
Overall Responsibilities
- Be the SME for testing and monitoring for APAC and MENA
- Lead risk-based desk and thematic reviews as per the annual Compliance Assurance Plan, including scoping, testing, reporting and communicating findings to senior stakeholders.
- Fully implement the Compliance Monitoring plan for the regional offices working with the global Compliance Assurance Team.
- Ensure timely delivery of high quality and value adding testing and monitoring reports
- Assist with the production of the Annual Compliance Assurance Plan with a focus on APAC and MENA
- Validate remediation actions stemming from assurance work, to ensure effective completion.
- Build strong and collaborative working relationships within Compliance globally and support the regions with Assurance activities.
- Support the wider Compliance team by undertaking ad-hoc compliance-related activities such as regulatory information requests, investigations, or incident-related root cause analysis.
- Collaborate with key stakeholders in the business and risk & control functions for integrated and consistent risks assessments approach.
- Coach, mentor and develop junior staff.
- Identify industry best practice and share insights with the rest of the team
Standard Responsibilities
- Ensuring compliance with the company’s regulatory requirements under the relevant regulators.
- 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.
- 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 Compliance and/ or your supervisor as required.
- To escalate risk events immediately.
- To provide input to risk management processes, as required.
- The Company may require you to carry out other duties from time to time
Competencies, Skills and Experience
- Extensive experience working in a Compliance Monitoring/Assurance, Advisory or Audit role within an APAC and/or MENA regulated financial institution
- Experience of working as part of a global team.
- In depth knowledge of regional regulatory requirements, including market abuse. Broad knowledge of compliance regulation more widely and understanding of compliance risks, assessments and assurance activities.
- Highly skilled influencer, adept at relationship-building.
- Proactive problem-solver, self-motivated and resilient in a fast-paced environment.
- Ability, patience and enthusiasm to coach, mentor and develop junior staff.
- Able to multi-task, prioritize and deliver high quality results with tight deadlines.
- Ability to navigate a complex organization
- Excellent written, verbal and interpersonal skills.
- Proficient in Excel and Word, and experience in use of IT systems and databases.
- Knowledge of Structured Products, Exchange Traded Derivatives, OTC Derivatives would be beneficial but not essential
- Experience or interest in data, analytics and AI beneficial
- Strategic collaborator with insight and agility, able to anticipate future challenges, ensuring operational effectiveness
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. A non-bureaucratic, but well controlled environment fosters initiative as well as employee satisfaction.
Skills Required
- Extensive experience in Compliance Monitoring/Assurance, Advisory or Audit role
- Knowledge of regional regulatory requirements and compliance risks
- Experience working as part of a global team
- Excellent written, verbal and interpersonal skills
- Proficient in Excel and Word
- Experience in data, analytics, and AI
What We Do
We are a diversified global financial services platform, connecting clients to global energy, metals, agricultural and financial markets. Across our businesses we provide critical high value-add services in Market Making, Execution and Clearing, Hedging and Investment Solutions, Price Discovery and Data & Advisory. We have a leading franchise in many major metals, energy and agricultural products, executing around 38 million trades and clearing over 193 million contracts in 2021. 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. Marex was established in 2005 but through its subsidiaries can trace its roots in the commodity markets back almost 100 years. Headquartered in London with 22 offices worldwide, the Group has over 1,100 employees across Europe, Asia and America. State-of-the-art electronic and voice broking services facilitate all types of trading strategies. This is backed by decades of experience, with Marex emphasising intellectual knowledge and insight, alongside access to extensive data sets and the latest analytical tools. In addition to its core operations, Marex's scale and expertise in commodity derivatives, as well as physical products, has enabled it to respond to client demand and offer services for financial futures & options and foreign exchange.
