Head of Broker Dealer Compliance, Americas and Chief Compliance Officer

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.

For more information visit https://www.marex.com/

Marex 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.

In the ever-evolving financial landscape, Compliance has become increasingly complex. Marex must navigate a wide range of regulatory requirements to maintain licenses and protect Marex’s reputation. Compliance and Compliance Officers play a crucial role in ensuring that all activities are conducted in accordance with the law.

Compliance Officers monitor transactions, conduct regular audits, train employees on regulatory requirements, and implement policies and procedures to minimize non-compliance risks. Compliance efforts are instrumental in fostering a compliant culture within Marex and ensuring that all employees understand their responsibilities.

Furthermore, Compliance is a bridge between Marex and regulatory authorities. Compliance is responsible for responding to inquiries, providing necessary documentation, and cooperating with regulatory examinations and investigations. This collaboration is essential in maintaining a healthy and transparent relationship between Marex and regulatory bodies.

Role Summary

The Head of Broker Dealer Compliance is an expert in Broker Dealer regulation that leads a team of compliance officers in providing compliance advisory services for Equities, Fixed Income, Listed Options trading activities as well as knowledge of various regulatory reporting requirements. The role primarily focuses on providing real-time compliance advisory services to the Americas Broker Dealer business units. Such guidance is tailored to resolving issues with consideration to regulatory requirements, regulatory and firm risk, and industry best practices. In addition, this role advises individuals within the various Marex Business lines from a Compliance perspective.

Responsibilities

• Lead and develop the Americas Broker Dealer Compliance team, overseeing talent management, performance, training, and succession planning
• Serve as the primary Compliance advisor to U.S. Broker Dealer businesses, providing guidance across Equities, Fixed Income, Listed Options, and related activities
• Partner with business leaders and desk heads to deliver proactive, risk-based compliance advice and support strategic business initiatives
• Oversee the firm’s Broker Dealer compliance framework, ensuring adherence to SEC, FINRA, OCC, exchange, and other applicable regulatory requirements
• Direct compliance oversight of key programs, including trade surveillance, regulatory reporting, employee compliance, and registration-related activities
• Ensure timely completion of regulatory examinations, inquiries, compliance assessments, governance reviews, and reporting obligations
• Maintain and enhance Broker Dealer policies, procedures, and Written Supervisory Procedures (WSPs) to address evolving regulatory requirements and business needs
• Promote a strong culture of compliance, risk awareness, integrity, and ethical conduct while supporting the firm's operational risk management framework

Competencies, Skills & Experience

• 10+ years of Broker Dealer Compliance experience with deep expertise in U.S. securities regulations, including SEC, FINRA, OCC, self-regulatory organizations, and applicable exchanges
• Proven leadership experience with the ability to build, develop, and motivate high-performing teams
• Strong regulatory judgment and the ability to analyze complex issues, assess risk, and deliver practical, business-focused solutions
• Exceptional communication and stakeholder management skills, with the ability to influ