Head of Broker Dealer Compliance

Job Description

Head of Broker Dealer Compliance, Americas and Chief Compliance Officer | Marex

The Tone:
This is a full-time role at Marex, located in the Americas. Marex is a diversified global financial services platform providing essential liquidity, market access, and infrastructure services across energy, commodities, and financial markets. This role is crucial for navigating the complex regulatory landscape, maintaining licenses, and safeguarding Marex’s reputation by ensuring all activities comply with legal requirements. The Chief Compliance Officer fosters a compliant culture, acts as a bridge to regulatory authorities, and ensures transparency.

The TL;DR
• Role: Full Time
• Type: Full-time
• Location: In-person, USA (Americas)
• Pay: $290000–$335000 yearly
• Team: Leads and develops the Americas Broker Dealer Compliance team
• Mission: Owns ensuring all Broker Dealer activities in the Americas comply with regulatory requirements and foster an ethical culture.

What You’ll Actually Do
• Team Leadership: Develop and guide the Americas Broker Dealer Compliance team, focusing on talent management, performance, training, and succession planning.
• Compliance Advisory: Provide expert compliance advisory services to U.S. Broker Dealer businesses, covering Equities, Fixed Income, and Listed Options trading activities.
• Framework Oversight: Direct the oversight of the firm’s Broker Dealer compliance framework, ensuring strict adherence to SEC, FINRA, OCC, exchange, and other applicable regulatory requirements.
• Program Management: Oversee key compliance programs including trade surveillance, regulatory reporting, employee compliance, and registration-related activities.
• Policy Enhancement: Maintain and enhance Broker Dealer policies, procedures, and Written Supervisory Procedures to address evolving regulatory requirements and business needs.

The Must-Haves
• Background: Senior leadership in Broker Dealer Compliance, with deep expertise in U.S. securities regulations across SEC, FINRA, OCC, self-regulatory organizations, and applicable exchanges.
• Experience: At least 10 years of Broker Dealer Compliance experience, demonstrating proven leadership in building, developing, and motivating high-performing teams.
• Skills: Strong regulatory judgment, the ability to analyze complex issues, exceptional communication and stakeholder management skills, and strategic problem-solving capabilities.
• Bonus: A collaborative and relationship-oriented approach, high integrity, professionalism, resilience, and accountability, with demonstrated success working across functions and geographies.