Surveillance Compliance Officer - Paris or London based

Marex Spectron; Greater London; On-site; GBP 80,000 - 100,000; Full time

Job summary

A global financial services platform in London is looking for a Surveillance Compliance officer to oversee trade activity across asset classes such as equities and commodities. The ideal candidate will have a minimum of 3 years experience in market surveillance and be fluent in both French and English. This role offers a dynamic environment where you will work with compliance systems and collaborate with various stakeholders to enhance operational effectiveness.

Qualifications

• Minimum of 3 years in a financial market-related surveillance role.
• Experience with trade surveillance systems and alerts.
• Educated to master's level in a relevant field.

Responsibilities

• Monitor trading activity using surveillance systems.
• Investigate market abuse alerts and reports.
• Identify and escalate suspicious activities.

Skills

Market-abuse knowledge

Data analysis

Compliance monitoring

Fluency in French

Fluency in English

Communication

Team collaboration

Education

Master's degree in a related subject

Tools

Global Relay

SMARTS Broker

BTCA

Job description

About Marex

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

The Group provides comprehensive breadth and depth of coverage across four core services: Market Making, Clearing, Hedging and Investment Solutions, and Agency and Execution. It has a major franchise in many metals, energy and agricultural products, executing around 50 million trades and clearing 205 million contracts in 2022.

Marex was established in 2005 but can trace its roots in the commodity markets back almost 100 years. Headquartered in London with 36 offices worldwide, the Group has over 1,800 employees across Europe, Asia and America.

Marex has unique access to markets with significant share globally both on and off exchange. The depth of knowledge among its teams and divisions gives customers 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 looking to recruit 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.

Overall Responsibilities

• Monitoring 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.
• Identification and escalation of 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.
• Ensuring 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.
• Participating and/or assisting in requests for information from regulators, exchanges and external counterparties in exchange/regulatory enquiries 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 or the Head of Compliance France.

Skills and Experience

• 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.
• 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.
• Marex is fully committed to the elimination of unlawful or unfair discrimination and values the differences that a diverse workforce brings to the company.
• Applicants outside of this range will still 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.