Equities & Options Broker-Dealer Compliance Advisor

Marex Group; New York (NY); Hybrid; USD 150,000 - 185,000; Full time

Job summary

Marex Group is seeking a Compliance Officer, Broker-Dealer Advisor focused on Equities and Options in New York. This role provides subject‑matter expertise on U.S. broker‑dealer regulation and advises front office on compliance, policy review, and regulatory reporting.

Ideal candidates have eight+ years in financial compliance, a finance/economics/business degree (JD preferred), and strong communication skills to navigate FINRA/SEC requirements and maintain Marex’s licensing standards.

Qualifications

• Minimum eight years in a financial industry Compliance/legal role.
• Experience with equity options and U.S. broker-dealer regulation.
• Strong written and verbal communication in a regulated environment.

Responsibilities

• Support the Head of U.S. Broker-Dealer Compliance.
• Provide compliance advisory to front office on daily activities.
• Review and enhance U.S. Broker-Dealer Policies and Procedures.
• Assess new initiatives for regulatory compliance before launch.
• Collaborate to meet Compliance Calendar deadlines.
• Ensure adherence to FINRA and SEC requirements.

Skills

Verbal communication

Written communication

Regulatory knowledge

Cross-functional collaboration

Risk management

Education

Bachelor’s degree in Finance/Economics/Business

JD or graduate degree desirable

Job description

Marex Group is seeking a Compliance Officer, Broker-Dealer Advisor focused on Equities and Options in New York. This role provides subject‑matter expertise on U.S. broker‑dealer regulation and advises front office on compliance, policy review, and regulatory reporting.

Ideal candidates have eight+ years in financial compliance, a finance/economics/business degree (JD preferred), and strong communication skills to navigate FINRA/SEC requirements and maintain Marex’s licensing standards.