Surveillance & Compliance Officer, US Markets

Risk Hub; Chicago (IL); On-site; USD 75,000 - 115,000; Full time

Job summary

Marex, a leading global financial services firm, seeks a Compliance professional to support US surveillance and regulatory programs across broker-dealer and futures commission merchant lines. You will provide trade, e-communications, and voice surveillance review services to ensure market integrity.

The role requires strong English communication, data analysis, and experience in a regulated environment. You will review alerts, document reasoning for true/false positives, escalate when needed,

Qualifications

• Excellent understanding of US financial markets.
• Data analysis and interpretation skills.
• Proficiency in Microsoft Office products (Word, Excel, Outlook).
• Excellent English verbal and written communication skills.
• Existing Surveillance experience in a financial markets context.
• Experience working in a regulated environment with knowledge of risk and compliance requirements.
• Demonstrable curiosity and resilience in a fast-paced setting.
• Ability to communicate across geography and functions.

Responsibilities

• Provide Trade, E-communications, and Voice Surveillance review services to US Broker Dealer (BD) and FCM business lines.
• Review alerts with due consideration in a timely fashion, maintaining queues within guidelines.
• Use Surveillance toolset to determine true/false positives, with proper documentation and reasoning.
• Escalate potential true positives to management with rationale.
• Produce metrics on Surveillance reviews to the Head of US Surveillance.
• Maintain and grow industry knowledge by following relevant news and regulator actions.
• Ensure compliance with SEC, FINRA, NFA, CFTC and other exchanges.

Skills

US financial markets

Data analysis

MS Office

Time management

English communication

Surveillance experience

Regulated environment

Curiosity

Resilience

Cross-functional communication

Integrity

Relationship building

Self-motivation

Team player

Strategic thinking

Job description

Marex, a leading global financial services firm, seeks a Compliance professional to support US surveillance and regulatory programs across broker-dealer and futures commission merchant lines. You will provide trade, e-communications, and voice surveillance review services to ensure market integrity.

The role requires strong English communication, data analysis, and experience in a regulated environment. You will review alerts, document reasoning for true/false positives, escalate when needed,