Compliance Assurance Lead – Investigations & Risk Assessments

Job Description

Senior Compliance Assurance & Investigations Officer | Marex

The Tone:
This is a full-time role at Marex, located in London, United Kingdom. Marex is a diversified global financial services platform that provides essential liquidity, market access, and infrastructure across energy, commodities, and financial markets. This position plays a critical role in supporting the Head of Compliance Assurance by ensuring the company adheres to regulatory standards and maintains its ethical framework. By leading investigations and driving the compliance assurance program, the officer helps uphold Marex’s reputation and operational integrity.

The TL;DR
• Role: Full Time
• Type: Full-time
• Location: In-person London, United Kingdom

• Team: Reports to the Head of Compliance Assurance, within the wider Compliance team.
• Mission: To ensure adherence to relevant legal frameworks, company policies, and whistleblowing rules through leading investigations and delivering the Compliance Assurance programme.
• Tech Stack: Excel, Word, IT systems and databases

What You’ll Actually Do
• Lead investigations: Lead, plan, and manage complex investigations, including whistleblowing events, ensuring adherence to relevant legal frameworks and company policies.
• Report findings: Prepare detailed, high-quality investigation reports with clear findings and recommendations for management.
• Deliver assurance: Lead risk-based desk and thematic reviews as per the annual Compliance Assurance Plan, including scoping, testing, reporting, and communicating findings to senior stakeholders.
• Manage risk assessments: Lead Compliance Risk Assessment rollouts and annual refreshes globally to report on the regulatory risks and controls in place across Marex entities.
• Validate actions: Validate remediation actions stemming from assurance work, to ensure effective completion.

The Must-Haves
• Background: Qualified solicitor with experience in investigations in UK regulated financial services.
• Experience: Extensive experience (10 years+) working in an Investigations, Compliance Monitoring/Assurance, Advisory, or Audit role.
• Skills: Broad knowledge of compliance regulation, compliance risk assessment methodology, and assurance activities; highly skilled influencer adept at relationship-building; excellent written, verbal, and interpersonal skills.
• Bonus: In-depth knowledge of market abuse regulation, risks, and surveillance; knowledge of Structured Products, Exchange Traded Derivatives, OTC Derivatives; experience or interest in data, analytics, and AI.