Senior Compliance Assurance & Investigations Lead

Marex; Greater London; On-site; GBP 90,000 - 160,000; Full time

Job summary

Marex is seeking a senior compliance professional to lead confidential investigations and drive the Compliance Assurance programme. You will plan reviews, assess risks, and report findings to senior management across Marex entities.

In this role you will mentor junior staff, collaborate with global teams, and ensure adherence to whistleblowing rules and regulatory expectations in a fast-paced environment.

Qualifications

• Must be a qualified solicitor with experience of investigations in UK regulated financial services.
• Extensive experience working in an Investigations, Compliance Monitoring/Assurance, Advisory or Audit role. (10 years+)*
• Broad knowledge of compliance regulation, compliance risks assessments methodology and assurance activities. In depth knowledge of market abuse regulation, risks and surveillance would be an advantage

Responsibilities

• Lead, plan and/or manage complex investigations. Ensure all investigations adhere to the relevant legal frameworks, company policies and whistleblowing rules.
• Prepare detailed, high-quality investigation reports with clear findings and recommendations for management.
• Lead risk-based desk and thematic reviews as per the annual Compliance Assurance Plan, including scoping, testing, reporting and communicating findings to senior stakeholders.
• Ensure timely delivery of high quality and value adding testing reports
• Lead Compliance Risk Assessment rollouts and annual refreshes globally to report on the regulatory risks and controls in place across Marex entities.
• Assist with the production of the Annual Compliance Assurance Plan
• 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 Risk Assessment methodology and Assurance activities.
• Support the Head of Compliance Assurance and 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 practise and share insights with the rest of the team

Skills

Qualified solicitor

Investigations experience

Stakeholder management

Tools

Excel

Word

Job description

Marex is seeking a senior compliance professional to lead confidential investigations and drive the Compliance Assurance programme. You will plan reviews, assess risks, and report findings to senior management across Marex entities.

In this role you will mentor junior staff, collaborate with global teams, and ensure adherence to whistleblowing rules and regulatory expectations in a fast-paced environment.