Surveillance Compliance Officer

il y a 2 semaines

Paris, Île-de-France Marex Spectron Temps plein
Job Title: Surveillance Compliance Officer

Marex Spectron is a leading global financial services platform, providing essential liquidity, market access, and infrastructure services to clients in the energy, commodities, and financial markets.

The Group offers comprehensive breadth and depth of coverage across four core services: Market Making, Clearing, Hedging, and Investment Solutions and Agency and Execution.

With a major franchise in many major metals, energy, and agricultural products, the Group executes around 50 million trades and clears 205 million contracts annually.

Headquartered in London with 36 offices worldwide, the Group has over 1,800 employees across Europe, Asia, and America.

The depth of knowledge amongst its teams and divisions provides its customers with a 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.

Marex Spectron 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 with an opportunity to gain exposure to a wider range of compliance activities at a market-leading broking company.

Key Responsibilities:

  • Timely and accurate investigation and disposition of market abuse and communication surveillance alerts and reports
  • 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
  • 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
  • Demonstrable experience working with Trade Surveillance systems and Alerts
  • Fluency in French and English is a prerequisite for the role
  • Excellent data analysis and interpretation skills
  • Capacity to analyse issues, behaviours, and patterns and to synthesise and communicate findings and outcomes in an effective manner
  • Knowledge of Global Relay, SMARTS Broker, BTCA, or equivalent surveillance tools
  • Educated to master level (business school/university) in a related subject
  • Excels at building relationships, networking, and influencing others
  • Pay due regard to the interests of customers and treat them fairly

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