Job Description

Compliance Officer - Surveillance


Responsibilities:

• Provide E-communications, Voice, and Trade 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 technical expertise and Surveillance toolset to make determinations on whether or not an alert is a true positive or false positive, closing false positives with proper documentation including explanatory reasoning.
    • Seek additional clarifying information from Clients/Traders as appropriate. Escalate potential true positives to management with proper documentation, including rationale.
      • Notify Employee's Supervisor or Client of confirmed True Positive.
    • Follow up on open issues as needed.
• .Produce metrics on Surveillance reviews to the Head of US Surveillance
  • Clearly delineated by date, business line, desk, alert type, client, and trader.
• .Participate in ongoing improvement of the Surveillance function
  • Testing of trade data and OMS/EMS systems to ensure the quality and completeness of data being input to the Surveillance tools
  • Actively suggesting potential enhancements that would
    • Increase discovery of True Positives.
    • Reclassify False Negatives to True Positives.
    • Reduce the quantity of False Positives without decreasing True Positives.
  • Calibration testing for new and existing scenario.
  • Documented UAT Review of new scenarios.
• Provide Surveillance expertise to BD and FCM Advisory Compliance, adding context and counsel to the objective response.
• Communicate and coordinate with colleagues in Compliance and the business to ensure efficacious processes.
• Maintain and grow industry knowledge by actively following relevant news events and regulator action.
• Other Surveillance services as assigned.
• Ensuring compliance with the company's regulatory requirements under the SEC, FINRA, NFA, CFTC and other applicable exchanges.
• Adhere to the operational risk framework for your role ensuring that all regulatory or company determined parameters are complied with.
• Role model for demonstrating highest level standards of integrity and conduct and reflecting Company Values.
• At all times complying with Marex's Code of Conduct:
  • To ensure that you are fully aware of and adhere to internal policies that relate to you, your role or any other activities for which you have any level of responsibility.
  • To report any breaches of policy to Compliance and/ or your supervisor as required.
  • To escalate risk events immediately.
  • To provide input to risk management processes, as required.

The Company may require you to carry out other duties from time to time.



Competencies, Skills and Experience:
Competencies

• Demonstrable curiosity.
• Resilience in a challenging, fast-paced environment.
• Ability to communicate across geography, business function, corporate level, and experience set.
• Unimpeachable character with integrity that guides all decisions.
• Excellence in building relationships, networking and influencing other.
• Self-starter with an ability to prioritize and manage multiple deliverables from beginning to completion.
• A collaborative team player, approachable, self-efficient and influences a positive work environment.
• Strategic collaborator with insight and agility, able to anticipate future challenges, ensuring operational effectiveness.

Skills and Experience
Essential:

• Excellent understanding of financial markets.
• Data analysis and interpretation skills.
• Proficiency in Microsoft Office products (Word, Excel, Outlook, etc.).
• Organizational and time-management skills.
• Excellent verbal and written communication skills.
• Existing Surveillance experience in a financial markets context.
• Experience working in a regulated environment and knowledge of the risk and compliance requirements associated with this.

Josh Novekoff
Recruiting Lead - Technology Services
LaSalle Network

LaSalle Network is an Equal Opportunity Employer m/f/d/v.

LaSalle Network is the leading provider of direct hire and temporary staffing services. For over two decades, LaSalle has helped organizations hire faster and connect top talent with opportunities, from entry-level positions to the C-suite. With units specializing in Accounting and Finance, Administrative, Marketing, Technology, Supply chain, Healthcare Revenue Cycle, Call Center, Human Resources and Executive Search. LaSalle offers staffing and recruiting solutions to companies of all sizes and across all industries.

LaSalle Network is the premier staffing and recruiting firm, earning over 100 culture, revenue and industry-based awards from major publications and having its company experts regularly contribute insights on retention strategies, hiring trends and hiring challenges, and more to national news outlets. LaSalle Network offers temporary Field Employees benefit plans including medical, dental and vision coverage. Family Medical Leave, Worker's compensation, Paid Leave and Sick Leave are also provided.

View a full list of our benefits here:

LNPW

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