About Marex Marex Group plc is a diversified global financial services platform, providing essential liquidity, market access and infrastructure services to clients in the energy, commodities and financial markets. It listed on Nasdaq Global Select Market in April 2024. With more than 35 offices in Europe, US and APAC, it 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.The Operations Regulatory Reporting department is responsible for daily processing of all firms exchange & regulatory reporting functions. Maintaining robust procedures and controls to ensure the firm meets their reporting requirements.For more information visit www.marex.com (http://www.marex.com/) Role SummaryTo support and maintain operational systems and static data associated to regulatory reporting processes/controls, and support, maintain and develop all financial and/or regulatory reporting solutions/controls to meet the firms exchange and regulatory requirements across multiple asset classes including Futures, Options, Swaps, Equities and Fixed Income.Responsibilities
Daily monitoring and problem resolution associated to CAT, CAIS, Dodd Frank, CFTC LTR (for Futures and Part 20) and other Position and Transactional reporting
Support/maintain general static data, Exchange and Regulatory enrichment information across platforms utilised by Operations.
Assist with system changes and upgrades in line with business, exchange & regulatory requirements.
Ensure written procedures are in place and up to date for daily/monthly departmental tasks
Efficient email management, including both personal & group mailboxes
Ensuring compliance with the company's exchange/regulatory requirements under and not limited to FINRA, SEC and CFTC
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.
Competencies
Excellent verbal and written communication skills
A collaborative team player, approachable, self-efficient and influences a positive work environment
Demonstrates curiosity
Resilient in a challenging, fast-paced environment
Ability to take a high level of responsibility in a fast pace and high-volume environment
Excels at building relationships, networking and influencing others
Strategic collaborator with insight and agility, able to anticipate future challenges, ensuring operational effectiveness
Skills and Experience
SME in OTC Derivatives Regulatory Reporting requirements
Experience of CAT, CAIS, Trace and other transactional Regulatory Reporting requirements essential
Strong knowledge of applicable securities laws, rules and regulations with the ability to assess firm impact. Specifically, FINRA, SEC, OCC, CFTC, NFA and other Self Regulatory Organizations.
Previous exposure/Knowledge of Dodd Frank
Ability to work effectively under pressure in a busy environment
Good communication skills within team & other business areas
Punctual & enthusiastic
Flexible & accustomed to constant changing responsibilities
Following a strict & disciplined regime, offering assistance to all employees
Demonstrates enhanced understanding of Futures & Options industry in areas including; Reconciliations, Position Maintenance, Regulatory Reporting and static data
Problem solving skills; ability to resolve issues in a timely & efficient manner
MS Office experience
Able to work on own initiative & be part of a team
Attention to detail
Ability to develop and enhance systems and processes to improve efficiency
Experience working in a regulated environment and knowledge of the risk and compliance requirements associated with this.
Conduct RulesYou must:
Act with integrity
Act with due skill, care and diligence
Be open and cooperative with the FCA, the PRA and other regulators
Pay due regard to the interests of customers and treat them fairly
Observe proper standard of market conduct
Act to deliver good outcomes for retail customers
Company Values Acting as a role model for the values of the Company:Respect - Clients are at the heart of our business, with superior execution and superb client service the foundation of the firm. We respect our clients and always treat them fairly.Integrity - Doing business the right way is the only way. We hold ourselves to a high ethical standard in everything we do – our clients expect this and we demand it of ourselves.Collaborative - We work in teams - open and direct communication and the willingness to work hard and collaboratively are the basis for effective teamwork. Working well with others is necessary for us to succeed at what we do.Developing our People - Our people are the basis of our competitive advantage. We look to “grow our own” and make Marex the place ambitious, hardworking, talented people choose to build their careers.Adaptable and Nimble - Our size and flexibility is an advantage. We are big enough to support our client's various needs, and adaptable and nimble enough to respond quickly to changing conditions or requirements. A non-bureaucratic, but well controlled environment fosters initiative as well as employee satisfaction.Marex is fully committed to the elimination of unlawful or unfair discrimination and values the differences that a diverse workforce brings to the company.#LI-MH1
