Compliance Officer, Broker-Dealer Advisor (Equities and Options) - VN2750

Marex is seeking a Broker-Dealer Compliance Advisor to provide compliance advisory services, with a strong background on Equities and Listed Options trading activities, as well as knowledge of various regulatory reporting requirements. The role involves monitoring transactions, conducting regular audits, training employees on regulatory requirements, and implementing policies and procedures to minimize non-compliance risks.

Requirements

• 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 is required (JD or other graduate degree desired)
• Experienced with equity options
• 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 working in a regulated environment and knowledge of the risk and compliance requirements associated with this

Benefits

• Generous Paid Time Off
• 401k Matching
• Retirement Plan
• Relocation Assistance