Equities & Options Broker-Dealer Compliance Lead

Marex; New York (NY); Sur place; USD 150 000 - 185 000; Plein temps

Résumé du poste

Marex is seeking a Broker-Dealer Compliance Advisor in the United States, focusing on equities and listed options trading. You will advise across day-to-day activities, review policies, and support regulatory examinations to protect Marex's licenses and reputation.

The role demands eight years in financial compliance, strong communication, and experience in a regulated environment with FINRA/SEC awareness. This is a full-time, on-site position within Marex's U.S. operations.

Qualifications

• At least eight (8) years of financial industry experience in a legal or compliance role.
• Bachelor's Degree in Finance, Economics, Business, or other related field; JD or graduate degree desired.
• Experienced in U.S. Broker-Dealer Regulatory matters.
• Previous Compliance experience within financial services.
• Ability to work in a matrix reporting organization.
• Excellent verbal and written communication skills.
• Experience in a regulated environment with risk/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 for compliance before launch.
• Collaborate to ensure Compliance Calendar deadlines are achieved.
• Ensure compliance with U.S. Broker-Dealer regulatory bodies (e.g. FINRA, SEC).
• Adhere to operational risk framework for your role.
• Role model integrity and compliance with Marex Values.
• Report breaches, elevate risk events, and provide risk management input.

Connaissances

Regulatory compliance

U.S. Broker-Dealer knowledge

Regulated environment experience

Verbal and written communication

Matrix organization experience

Financial services experience

Formation

Bachelor's degree in Finance/Economics/Business

JD or graduate degree desired

Description du poste

Marex is seeking a Broker-Dealer Compliance Advisor in the United States, focusing on equities and listed options trading. You will advise across day-to-day activities, review policies, and support regulatory examinations to protect Marex's licenses and reputation.

The role demands eight years in financial compliance, strong communication, and experience in a regulated environment with FINRA/SEC awareness. This is a full-time, on-site position within Marex's U.S. operations.