Surveillance Compliance Officer

il y a 4 jours

Paris, Île-de-France Marex Temps plein

About Marex

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.

Marex has unique access across markets, with a significant share globally both on and off exchange. 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.

Role Summary

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

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.
  • Identify and escalate 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.
  • Participate in and/or assist with requests for information from Regulators, Exchange, and external counterparties in exchange/regulatory inquiries from a surveillance perspective.
  • Proactively share industry/Market Abuse knowledge with the wider Surveillance team.
  • Participate 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 synthesise 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.
  • Pays due regard to the interests of customers and treats them fairly.
  • Observes proper standard of market conduct.
  • Acts to deliver good outcomes for retail customers.

Marex 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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