Head of Broker Dealer Compliance, Americas and Chief Compliance Officer (VN2908)

Job description

About Marex Marex Group plc (NASDAQ: MRX) is a diversified global financial services platform providing essential liquidity, market access and infrastructure services to clients across energy, commodities and financial markets. The group provides comprehensive breadth and depth of coverage across four core services: clearing, agency and execution, market making, and hedging and investment solutions. It has a leading franchise in many major metals, energy and agricultural products, with access to 60 exchanges. The group provides access to the world’s major commodity markets, covering a broad range of clients that include some of the largest commodity producers, consumers and traders, banks, hedge funds and asset managers. With more than 40 offices worldwide, the group has over 2,300 employees across Europe, Asia and the Americas. For more information visit Marex has unique access across markets with significant share globally both on and off exchange. The depth of knowledge amongst its teams and divisions provides its customers with clear advantage, and its technology-led service provides access to all major exchanges, order-flow management via screen, voice and DMA, plus award-winning data, insights, and analytics. In the ever-evolving financial landscape, Compliance has become increasingly complex. Marex must navigate a wide range of regulatory requirements to maintain licenses and protect Marex’s reputation. Compliance and Compliance Officers play a crucial role in ensuring that all activities are conducted in accordance with the law. Compliance Officers monitor transactions, conduct regular audits, train employees on regulatory requirements, and implement policies and procedures to minimize non-compliance risks. Compliance efforts are instrumental in fostering a compliant culture within Marex and ensuring that all employees understand their responsibilities. Furthermore, Compliance is a bridge between Marex and regulatory authorities. Compliance is responsible for responding to inquiries, providing necessary documentation, and cooperating with regulatory examinations and investigations. This collaboration is essential in maintaining a healthy and transparent relationship between Marex and regulatory bodies. Role Summary The Head of Broker Dealer Compliance is an expert in Broker Dealer regulation that leads a team of compliance officers in providing compliance advisory services for Equities, Fixed Income, Listed Options trading activities as well as knowledge of various regulatory reporting requirements. The role primarily focuses on providing real-time compliance advisory services to the Americas Broker Dealer business units. Such guidance is tailored to resolving issues with consideration to regulatory requirements, regulatory and firm risk, and industry best practices. In addition, this role advises individuals within the various Marex Business lines from a Compliance perspective. Responsibilities Lead and develop the Americas Broker Dealer Compliance team, overseeing talent management, performance, training, and succession planning Serve as the primary Compliance advisor to U.S. Broker Dealer businesses, providing guidance across Equities, Fixed Income, Listed Options, and related activities Partner with business leaders and desk heads to deliver proactive, risk-based compliance advice and support strategic business initiatives Oversee the firm’s Broker Dealer compliance framework, ensuring adherence to SEC, FINRA, OCC, exchange, and other applicable regulatory requirements Direct compliance oversight of key programs, including trade surveillance, regulatory reporting, employee compliance, and registration-related activities Ensure timely completion of regulatory examinations, inquiries, compliance assessments, governance reviews, and reporting obligations Maintain and enhance Broker Dealer policies, procedures, and Written Supervisory Procedures (WSPs) to address evolving regulatory requirements and business needs Promote a strong culture of compliance, risk awareness, integrity, and ethical conduct while supporting the firm's operational risk management framework Competencies, Skills & Experience 10+ years of Broker Dealer Compliance experience with deep expertise in U.S. securities regulations, including SEC, FINRA, OCC, self-regulatory organizations, and applicable exchanges Proven leadership experience with the ability to build, develop, and motivate high-performing teams Strong regulatory judgment and the ability to analyze complex issues, assess risk, and deliver practical, business-focused solutions Exceptional communication and stakeholder management skills, with the ability to influence senior management and front-office leaders Proven ability to make, support, and defend complex compliance decisions in a fast-paced, highly regulated environment Strategic, proactive, and intellectually curious, with the ability to anticipate emerging risks and regulatory developments Collaborative and relationship-oriented, with demonstrated success working across functions, geographies, and levels of the organization High degree of integrity, professionalism, resilience, and accountability, with the ability to manage multiple priorities and deliver results under pressure Salary Range: $290,000 to $335,000 per year and eligible for discretionary bonus. Company Values Be collaborative - by working together across the organisation, we foster teamwork, can better respond to challenges and successfully deliver for our clients Act with integrity - we pride ourselves on our honesty and high ethical standards. We apply these values when working with all our clients, colleagues and other stakeholders Be adaptable and entrepreneurial - we embrace change as markets evolve to constantly increase our efficiency and create innovative solutions for our clients. We are interested in the world around us and inquisitive about understanding the challenges and opportunities our clients face. Be respectful – how we treat each other, and our clients says everything about who we are. We always act respectfully and treat people fairly in everything we do. Nurture talent – we aim to grow our own talent and make Marex the place ambitious, hardworking and talented people choose to build their career. This means giving and taking stretch opportunities, taking risks, and committing to career development and support – for ourselves, and our teams. Marex is fully committed to being an inclusive employer and providing an inclusive and accessible recruitment process for all. We will provide reasonable adjustments to remove any disadvantage to you being considered for this role. We value the differences that a diverse workforce brings to the company. We welcome applications from candidates returning to the workforce. Also, Marex is committed to avoiding circumstances in which the appearance or possibility of conflicts of interest may exist within the hiring process. If you would like to receive any information in a different way or would like us to do anything differently to help you, please include it in your application.