Senior Compliance Assurance & Investigations Officer (VN2806)

Senior Compliance Assurance & Investigations Officer (VN2806)

London, GB

Compliance

Full-Time

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.

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Role Summary

To support the Head of Compliance Assurance by leading and managing confidential investigations, including whistleblowing events, and delivering the Compliance Assurance programme through reviews and risk assessments.

Responsibilities

• Lead, plan, and/or manage complex investigations, ensuring adherence to legal frameworks, company policies, and whistleblowing rules. This includes triaging and investigating reports, obtaining evidence, and interviewing witnesses.
• Prepare detailed, high-quality investigation reports with clear findings and recommendations for management.
• Lead risk-based desk and thematic reviews as per the annual Compliance Assurance Plan, including scoping, testing, reporting, and communicating findings to senior stakeholders.
• Ensure timely delivery of high-quality, value-adding testing reports.
• Lead Compliance Risk Assessment rollouts and annual refreshes globally, reporting on regulatory risks and controls across Marex entities.
• Assist with the production of the Annual Compliance Assurance Plan.
• Validate remediation actions from assurance work to ensure effective completion.
• Build strong, collaborative relationships within Compliance globally and support regions with Risk Assessment methodology and Assurance activities.
• Provide ad hoc compliance-related support (regulatory information requests, investigations, incident root cause analysis).
• Collaborate with key stakeholders in business and risk & control functions for integrated and consistent risk assessment approaches.
• Coach, mentor, and develop junior staff.
• Identify industry best practice and share insights with the team.

Skills and Experience

• Qualified solicitor with experience in investigations within UK regulated financial services.
• Extensive experience (10+ years) in Investigations, Compliance Monitoring/Assurance, Advisory, or Audit roles.
• Broad knowledge of compliance regulation, risk assessment methodology, and assurance activities; in depth knowledge of market abuse regulation, risks, and surveillance is an advantage.
• Highly skilled influencer, adept at relationship building.
• Ability to handle confidential complex matters while adhering to whistleblowing regulations at all times.
• Proactive problem solver, self motivated, and resilient in a fast paced environment.
• Ability, patience, and enthusiasm to coach, mentor, and develop junior staff.
• Capacity to multi task, prioritize, and deliver high quality results within tight deadlines.
• Ability to navigate a complex organisation.
• Excellent written, verbal, and interpersonal skills.
• Proficient in Excel and Word, and experienced in using IT systems and databases.
• Knowledge of Structured Products, Exchange Traded Derivatives, OTC Derivatives is beneficial but not essential.
• Experience or interest in data, analytics, and AI is beneficial.

Competencies

• 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.

Conduct Rules

• 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 a proper standard of market conduct.
• Act to deliver good outcomes for retail customers.

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.

Candidates outside of this range will also be considered