Compliance Assurance Tester – US Regulatory

Marex

Chicago (IL)

On-site

USD 110,000 - 140,000

Full time

4 days ago

Be an early applicant

Get a reply from this employer

Your resume and cover letter, tailored to exactly what they’re hiring for.

Get past ATS filters

Job summary

Marex, a leading global financial services group, is seeking a seasoned Compliance Assurance professional to support the Americas and collaborate with the Global team. The role focuses on verifying controls, executing data-driven reviews, and guiding remediation actions to ensure adherence to SEC, FINRA, NFA, CFTC and related regulations.

Responsibilities include risk-based reviews, data analysis, and reporting, with a strong emphasis on collaboration across Marex entities and building robust

Qualifications

Experience in compliance monitoring/testing, advisory or audit within U.S. regulated financial institutions.
In-depth understanding of U.S. rules and regulations with broad compliance risk knowledge.
Excellent verbal and written communication skills.

Responsibilities

Lead risk-based reviews following the Annual Compliance Assurance Plan; write scope docs and reports.
Design and execute test scripts to analyze data from multiple departments for reviews.
Validate remediation actions to ensure effective resolution.
Facilitate the Compliance Risk Assessment process and report regulatory risks.
Collaborate with global teams to ensure integrated risk assessment across regions.
Support ad-hoc compliance tasks including information requests and investigations.

Skills

Curiosity and continuous learning

Resilience and adaptability

Accountability and ownership

Relationship building and influence

Strategic collaboration

Tools

Microsoft Excel

Microsoft Word

Databases

Job description

Responsibilities include risk-based reviews, data analysis, and reporting, with a strong emphasis on collaboration across Marex entities and building robust

Get your free, confidential resume review.

or drag and drop your file here.