Surveillance Compliance Officer
il y a 3 semaines
About Marex Spectron
Marex Spectron is a diversified 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.
Role Summary
Marex Spectron, the European Entity within the Marex Group, is seeking a Surveillance Compliance Officer to join their team in either Paris or London. The role will primarily focus on Surveillance (Trade Activity and Communications) across a range of asset classes (Cash Equity, Fixed Income, FX, Commodities, Listed Derivatives, structured products, Swaps) on multiple exchanges, trading platforms and venues.
Key Responsibilities
- Monitor trading activity, using industry recognised systems and solutions.
- Timely and accurate investigation and disposition of market abuse and communication surveillance alerts and reports.
- Conduct reviews and analysis of trading activity to identify potentially suspicious activity and or behaviour/patterns.
- Identification and escalating potential suspicious orders, trades and communications or any other suspicious activity to the relevant internal stakeholders/Senior Management in accordance with Firm policies and procedures.
- Ensure escalation results, supporting documents and findings are documented, recorded and reported to relevant stakeholders and management.
- Proactive contribution to the continuous enhancements and improvement of the effectiveness and efficiency of the Surveillance system, solutions and processes.
- Participate in new alerts implementation and calibration testing for new and existing alert types.
- Participating and or assisting to request for information from Regulators, Exchange and external counterparties in exchange / regulatory enquires from a surveillance perspective.
- Proactively sharing industry / Market Abuse knowledge with the wider Surveillance team.
- Participating in other surveillance projects and work as required by the Head of Surveillance/and or the Head of Compliance France.
Requirements
- Minimum of 3 years working in a financial market related Surveillance role with a good understanding of Market Abuse rules, regulations, obligations and expectations.
- Experience of compliance monitoring of trading desks is desirable.
- Demonstrable experience working with Trade Surveillance systems and Alerts.
- Fluency in French and English is a prerequisite for the role.
- Good understanding and knowledge of financial markets, trading and financial products.
- Excellent data analysis and interpretation skills.
- Ability to draft reports in a concise, professional and succinct manner with good attention to detail and accuracy.
- A strong understanding of Market Abuse and Conduct Rules and expectations within a financial regulatory environment.
- Ability to communicate clearly and effectively and to adapt quickly to new environments, situations, challenges, processes and tasks.
- Capacity to analyse issues, behaviours and patterns and to synthesis and communicate findings and outcomes in an effective manner.
- Experienced in dealing with exchanges and regulators.
- Strong team player, experience of dealing with a variety of stakeholders.
- Knowledge of Global Relay, SMARTS Broker, BTCA or equivalent surveillance tools.
- Educated to master level (business school/university) in a related subject.
Competencies
- Excellent verbal and written communication skills.
- A collaborative team player, approachable, self-efficient and influences a positive work environment.
- Demonstrates curiosity.
- Resilient in a challenging, fast-paced environment.
- Excels at building relationships, networking and influencing others.
- Strategic collaborator with insight and agility, able to anticipate future challenges, ensuring operational effectiveness.
Conduct Rules
You must:
- Act with integrity.
- Act with due skill, care and diligence.
- Be open and cooperative with the FCA, the PRA and other regulators.
- PAY due regard to the interests of customers and treat them fairly.
- Observe proper standard of market conduct.
- Act to deliver good outcomes for retail customers.
Marex Spectron is fully committed to the elimination of unlawful or unfair discrimination and values the differences that a diverse workforce brings to the company.
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