Surveillance Compliance Officer
il y a 3 jours
Marex 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 a comprehensive range of services, including Market Making, Clearing, Hedging, and Investment Solutions, as well as Agency and Execution. With a major franchise in many major metals, energy, and agricultural products, Marex executes around 50 million trades and clears 205 million contracts annually.
The company has a strong presence in the global commodity markets, covering a broad range of clients, including commodity producers, consumers, traders, banks, hedge funds, and asset managers.
Marex was established in 2005 and has a rich history in the commodity markets, dating back almost 100 years. Headquartered in London, the Group has 36 offices worldwide and employs over 1,800 people across Europe, Asia, and America.
Role SummaryMarex SA, the European Entity within the Marex Group, is seeking a Surveillance Compliance Officer to join their team in either Paris or London. The successful candidate will be responsible for monitoring trading activity, investigating market abuse and communication surveillance alerts, and conducting reviews and analysis of trading activity to identify potentially suspicious behavior.
Key Responsibilities- Monitor trading activity using industry-recognized systems and solutions.
- Investigate and dispose of market abuse and communication surveillance alerts in a timely and accurate manner.
- Conduct reviews and analysis of trading activity to identify potentially suspicious behavior.
- Escalate potential suspicious orders, trades, and communications to relevant internal stakeholders and senior management.
- Document and report findings to relevant stakeholders and management.
- Contribute to the continuous enhancement and improvement of the Surveillance system, solutions, and processes.
- Participate in new alerts implementation and calibration testing.
- Assist in responding to regulator inquiries from a surveillance perspective.
- Share industry and market abuse knowledge with the wider Surveillance team.
- Minimum of 3 years' experience in a financial market-related Surveillance role with a good understanding of Market Abuse rules and regulations.
- Experience in 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.
- Strong understanding of Market Abuse and Conduct Rules within a financial regulatory environment.
- Ability to communicate clearly and effectively.
- Capacity to analyze issues, behaviors, and patterns.
- Experience in dealing with exchanges and regulators.
- Strong team player with experience of dealing with various stakeholders.
- Knowledge of Global Relay, SMARTS Broker, BTCA, or equivalent surveillance tools.
- Master's degree in a related subject.
- Excellent verbal and written communication skills.
- Collaborative team player with a positive attitude.
- Demonstrates curiosity and resilience in a challenging environment.
- Excels at building relationships and influencing others.
- Strategic collaborator with insight and agility.
- Act with integrity.
- Act with due skill, care, and diligence.
- Be open and cooperative with regulators.
- Prioritize customer interests and treat them fairly.
- Observe proper standards of market conduct.
- Deliver good outcomes for retail customers.
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