US Compliance & Surveillance Specialist

Marex; New York (NY); On-site; USD 75,000 - 115,000; Full time

Job summary

Marex invites a Surveillance professional to join our US Compliance team in New York. You will review Trade, E-communications, and Voice surveillance for US Broker Dealer and FCM lines, ensuring timely and accurate determinations of true or false positives.

Role requires strong data analysis, English communication, and experience in a regulated environment, with focus on US rules and regulators. Salary range reflects market standards in New York, with opportunities in a global commodities

Qualifications

• Familiarity with US financial markets and regulatory framework.
• Ability to analyze data and interpret surveillance signals.
• Strong written and spoken English communication.
• Experience operating in a regulated financial services setting.

Responsibilities

• Provide trade, e-communications, and voice surveillance reviews for US BD and FCM lines.
• Review alerts promptly; maintain queues within guidelines.
• Determine true vs false positives using surveillance tools; document rationale.
• Escalate issues with appropriate documentation to management.
• Produce surveillance metrics for the Head of US Surveillance.
• Support ongoing enhancements to improve true positive discovery and reduce false positives.
• Participate in testing of data and OMS/EMS systems for data quality.
• Communicate with Compliance and business teams to optimize processes.
• Ensure adherence to SEC, FINRA, NFA, CFTC and exchange rules.

Skills

US financial markets

Data analysis

MS Office

Time management

English proficiency

Surveillance experience

Regulated environment

Education

Bachelor's degree in Finance/Economics/Business

Job description

Marex invites a Surveillance professional to join our US Compliance team in New York. You will review Trade, E-communications, and Voice surveillance for US Broker Dealer and FCM lines, ensuring timely and accurate determinations of true or false positives.

Role requires strong data analysis, English communication, and experience in a regulated environment, with focus on US rules and regulators. Salary range reflects market standards in New York, with opportunities in a global commodities