Compliance Finra Jobs (NOW HIRING)

Marex is recruiting a Surveillance Compliance Officer to join the team at our New York office. The role focuses on Trade Surveillance (Trade Activity and Communications) across a range of asset classes including Cash Equity, Fixed Income, Commodities and Derivatives. The candidate will review alerts, use surveillance tools, produce metrics, and contribute to improvement of the Surveillance function while ensuring compliance with SEC, FINRA, NFA, CFTC and other regulatory requirements.

• Provide Trade Surveillance, e‑communications and voice review services to US Broker Dealer and FCM business lines.
• Review alerts in a timely fashion, determining true or false positives, documenting decisions, escalating potential true positives and following up on open issues.
• Produce metrics on surveillance reviews clearly delineated by date, business line, desk, alert type, client and trader.
• Participate in ongoing improvement of the Surveillance function: test trade data and OMS/EMS systems, suggest enhancements to increase true‑positive discovery, reclassify false negatives, reduce false positives while maintaining true positives, calibrate new and existing scenarios, and review user acceptance testing of new scenarios.
• Provide surveillance expertise to BD and FCM Advisory Compliance, adding context and counsel to objective responses.
• Communicate and coordinate with colleagues in Compliance and business units to ensure efficient processes.
• Maintain and grow industry knowledge by following relevant news events and regulator action.
• Ensure compliance with company regulatory requirements such as SEC, FINRA, NFA, CFTC and other applicable exchanges.
• Adhere to the operational risk framework and company policies, model highest standards of integrity and conduct, and comply with Marex’s Code of Conduct, including awareness of internal policies, reporting breaches, escalating risk events and providing input to risk management.
• Perform other duties as assigned.

• Demonstrable curiosity.
• Resilience in a challenging, fast‑paced environment.
• Ability to communicate across geography, business function, corporate level, and experience set.
• Unimpeachable character with integrity guiding all decisions.
• Excellence in building relationships, networking and influencing others.
• Self‑starter, prioritizing and managing multiple deliverables from beginning to completion.
• A collaborative team player, approachable, self‑efficient and influencing a positive work environment.
• Strategic collaborator with insight and agility, able to anticipate future challenges and ensuring operational effectiveness.

• Excellent understanding of financial markets.
• Data analysis and interpretation skills.
• Proficiency in Microsoft Office products (Word, Excel, Outlook, etc.).
• Organizational and time‑management skills.
• Excellent verbal and written communication skills.
• Existing surveillance experience in a financial markets context.
• Experience working in a regulated environment and knowledge of the risk and compliance requirements associated with this.

• Bachelor’s Degree in Finance, Economics, Business or other related field.
• Experience working for a regulated exchange or regulator.
• Experience developing strategic Artificial Intelligent solutions for surveillance or compliance.
• FINRA Series 7, 24; NFA Series 3, Swaps Proficiency Long Track.
• CAMS Certification.

Base salary range: $125,000 to $175,000 per year, with eligibility for discretionary bonus.
Marex Benefits for 2026.

Marex is fully committed to the elimination of unlawful or unfair discrimination and values the differences that a diverse workforce brings to the company. We are an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability status, protected veteran status, or any other characteristic protected by the law.