Broker-Dealer Compliance Advisor (Equities & Options)

Rex Technologies GmbH; New York (NY); Sur place; USD 150 000 - 185 000; Plein temps

Résumé du poste

Marex is seeking a Broker-Dealer Compliance Advisor to serve as a subject matter expert on U.S. Broker-Dealer regulation with a focus on Equities and Listed Options trading activities. The role provides compliance advisory services, regulatory reporting guidance, and risk-based solutions across front-office activities.

The ideal candidate will have extensive experience in U.S. broker-dealer regulations, strong communication skills, and a track record of maintaining compliance within regulated

Qualifications

• Bachelor’s Degree in Finance, Economics, Business, or related field.
• Eight or more years of financial industry experience in a legal or compliance role.
• Experience with equity options.
• Experience in U.S. Broker-Dealer regulatory matters.
• Excellent verbal and written communication skills.
• Experience in regulated environments and knowledge of risk and compliance requirements.

Responsabilités

• Support the Head of U.S. Broker-Dealer Compliance.
• Provide compliance advisory support to front office teams across day-to-day business activities.
• Review, draft and enhance U.S. Broker-Dealer Policies, Procedures and Written Supervisory Procedures.
• Review new business initiatives, products, and markets to ensure full compliance before launch through the BCAC management review process.
• Collaborate to ensure Compliance Calendar deadlines are achieved.
• Ensuring compliance with the company’s regulatory requirements under U.S. Broker-Dealer regulatory bodies (e.g. FINRA, SEC).
• 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.
• 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/ or your supervisor as required.
• To elevate risk events immediately.
• To provide input to risk management processes, as required.

Description du poste

Marex is seeking a Broker-Dealer Compliance Advisor to serve as a subject matter expert on U.S. Broker-Dealer regulation with a focus on Equities and Listed Options trading activities. The role provides compliance advisory services, regulatory reporting guidance, and risk-based solutions across front-office activities.

The ideal candidate will have extensive experience in U.S. broker-dealer regulations, strong communication skills, and a track record of maintaining compliance within regulated