Surveillance Compliance Officer - Communications

Marex; London; On-site; GBP 30,000 - 45,000; Full time

Job summary

A market-leading commodity broking company seeks a Communications Surveillance Compliance officer in London. The role involves regulatory surveillance, compliance duties, and collaboration with various stakeholders. Ideal candidates will have strong communication skills, experience in regulated environments, and knowledge of surveillance tools like Global Relay.

Qualifications

• 1 year of transferable skills in a similar role.
• Experience working in a regulated environment.
• Knowledge of surveillance tools and regulations.

Responsibilities

• Conduct Communications Surveillance for EMEA using Global Relay.
• Ensure compliance with regulatory requirements under the FCA.
• Escalate suspicious activity findings to management.

Skills

Surveillance knowledge

Excellent verbal and written communication skills

Team player

Education

Degree in a related subject

Tools

Global Relay

Job description

About Marex

Marex Group plc (NASDAQ: MRX) is a diversified global financial services platform providing essential liquidity, market access and infrastructure services to clients across energy, commodities and financial markets. The group provides comprehensive breadth and depth of coverage across four core services: clearing, agency and execution, market making, and hedging and investment solutions. It has a leading franchise in many major metals, energy and agricultural products, with access to 60 exchanges. 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. With more than 40 offices worldwide, the group has over 2,300 employees across Europe, Asia and the Americas.

For more information visit www.marex,com

Role Summary

We are searching for a Communications Surveillance Compliance officer to join their

team in London. The role focusses on Comms Surveillance; with an opportunity to gain exposure to a

wider range of compliance activities at a market-leading commodity broking company. The

successful candidate will focus primarily on the EMEA communication using Global Relay.

Responsibilities

• Conduct Communications Surveillance for EMEA, primarily using Global Relay.
• Escalating any suspicious activity findings to management and reporting to regulators.
• Ensuring compliance with the company’s regulatory requirements under the FCA and any other relevant regulatory bodies.
• Adhere to the operational risk framework for your role ensuring that all regulatory or company determined parameters are complied with.
• Role model for demonstrating highest level standards of integrity and conduct and reflecting Company Values.
• At all times complying with the FCA’s Code of Conduct and Marex’s Code of Conduct.
• To ensure that you are fully aware of and adhere to internal policies that relate to you, your role or any other activities for which you have any level of responsibility
• To report any breaches of policy to Compliance and your supervisor as required
• To escalate risk events immediately

Skills and Experience

• 1 years* transferable skills gained in a similar role / organisation
• Strong team player, experience of dealing with a variety of stakeholders
• Surveillance knowledge, including regulation, tools used (Global Relay or equivalent)
• Educated to degree level in a related subject would be beneficial, but not essential
• Excellent verbal and written communication skills
• Experience working in a regulated environment and knowledge of the risk and compliance requirements associated with this.

Competencies

• Knowledge of Global Relay or Equivalent
• A collaborative team player, approachable, self-efficient
• 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

Company Values

Acting as a role model for the values of the Company:

Respect - Clients are at the heart of our business, with superior execution and superb client service the foundation of the firm. We respect our clients and always treat them fairly.

Integrity - Doing business the right way is the only way. We hold ourselves to a high ethical standard in everything we do – our clients expect this and we demand it of ourselves.

Collaborative - We work in teams - open and direct communication and the willingness to work hard and collaboratively are the basis for effective teamwork. Working well with others is necessary for us to succeed at what we do.

Developing our People - Our people are the basis of our competitive advantage. We look to “grow our own” and make Marex the place ambitious, hardworking, talented people choose to build their careers.

Adaptable and Nimble - Our size and flexibility is an advantage. We are big enough to support our client’s various needs, and adaptable and nimble enough to respond quickly to changing conditions or requirements. A non-bureaucratic, but well controlled environment fosters initiative as well as employee satisfaction.

*experience outside of this range will also be considered

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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