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MAREX

<div>Diversified. Resilient. Dynamic.
Marex is a global financial services platform, providing essential liquidity, market access and infrastructure services to clients in the energy, commodities and financial markets.
The Group provides comprehensive breadth and depth of coverage across four core services: Market Making, Clearing, Hedging and Investment Solutions and Agency and Execution. It has a major franchise in many major metals, energy and agricultural products, executing around 50 million trades and clearing 205 million contracts in 2022. 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 35 offices around the globe, and over 2,300 dedicated people enabling access to exchanges and technology-powered services.
For more information visit www.marex.com (http://www.marex.com/)
(http://www.marex.com/)
Purpose of Role:
The Operational Risk Manager is responsible for assisting the Firm in identification, evaluation, control testing, and management of operational risk, whilst supporting risk strategy and driving proactive operational risk culture. The role assists in the implementation of the Operational Risk Management Framework in North America, a priority of the region. This is a key role where the development of successful and supportive relationships with key stakeholder across several business disciplines is required.
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.
The Risk Department is responsible for assessing and managing various financial risks that Marex may face. The department employs analytical tools to monitor and mitigate potential threats. By implementing robust risk management practices, the department contributes towards maintaining Marex's overall financial stability. The Risk Department consists of the following teams: Operation Risk, Change Risk &amp; Assurance, Governance, Privacy, Credit Risk, Market Risk, and Clearing Risk.
Responsibilities:
<ul><li>Risk representative for Operational Risk in the region, point person for Operational Risk matters in the US.</li><li>
Risk and Control Assessment: Facilitate risk and control assessments to identify potential risks and implement effective controls, validating remediation of operational risk exposure and related control gaps.</li><li>
 Governance: Contribute in and create reporting materials for governance forums, ensuring comprehensive oversight and identification of operational risk trends.</li><li>
Risk Reporting: Preparing and presenting detailed risk reports / dashboards / metrics to senior management and stakeholders, highlighting key risk areas and recommended actions.</li><li>
Trend Analysis: Identify and analyse operational risk trends, using internal and external data, to inform strategic decision-making and remediate potential gaps.</li><li>
Continuous Improvement: Providing thoughtful and collaborative leadership promoting risk transparency and business unit-level ownership and accountability over operational risk and control environments, fostering continuous improvement.</li><li>
Risk Aware Culture: Promoting Marex's risk aware culture, serving as the subject matter expert on operational risk initiatives. Identifying, initiating, and fostering relationships with business and operational partners, including second- and third-line assurance functions, to promote a culture of continuous improvement, driving constructive communication with the ORM team.</li><li>
Risk Register Buildout: Work with business areas in the region to build out Risk Registers and end-to-end process mapping, working to provide accurate reflection of information and challenge where appropriate.</li><li>
Control Evaluation: Develop and evaluate the design and effectiveness of controls and provide timely and in-depth analysis to Senior Management. This includes challenging management actions to remediate control gaps or weaknesses and track through to closure. Ensure accurate reflection of risk and control information within Risk Registers by providing rigorous challenge where appropriate.</li><li>
Risk Event Management: Conduct root cause analysis, monitor and report on Risk Events and Operational Losses escalating to management appropriately, and actively supporting business areas in the lessons learnt.</li><li>
Broker Error Management: Daily management of Broker Losses and reporting to help drive down total value, volumes and learn lessons.</li><li>
Ensuring compliance with the company's regulatory requirements under the SEC, FINRA, NFA, CFTC and other applicable exchanges.</li><li>
Adhere to the operational risk framework for your role ensuring that all regulatory or company determined parameters are complied with.</li><li>
Role model for demonstrating highest level standards of integrity and conduct and reflecting Company Values.</li><li>
At all times complying with Marex's Code of Conduct:<ul><li>
To ensure that you are fully aware of and adhere to internal policies that relate to you, your role or any other activities for which you have any level of responsibility</li><li>
To report any breaches of policy to Compliance and/ or your supervisor as required</li><li>
To escalate risk events immediately</li><li>
To provide input to risk management processes, as required.</li></ul></li></ul>
The Company may require you to carry out other duties from time to time.
Competencies, Skills and Experience:
Competencies 
<ul><li>Demonstrates curiosity and self-motivated to take initiative to scope and lead enhancement work.</li><li>
Applying sound judgment in the evaluation of risks and controls.</li><li>
Resilient in a challenging, fast-paced environment.</li><li>
Ability to take a high level of responsibility in a fast pace and high-volume environment.</li><li>
Effective report writing and oral communication skills, including the ability to communicate complex requirements simply and to translate them into viable business practices and procedures.</li><li>
Excels at building relationships, networking and influencing others and demonstrate confidence to challenging the assumptions and conclusions of more experienced staff members;</li><li>
Strategic collaborator with insight and agility, able to anticipate future challenges, ensuring operational effectiveness.</li></ul> 
 
Skills and Experience
<ul><li>At least six plus (6+) years of operational risk management, enterprise risk management and/or related experience required; experience in the investment management industry preferred.</li><li>
Experienced in governance, risk, assurance, compliance, or internal control roles in Financial Services.</li><li>
Advanced technical risk and control knowledge and demonstrated experience facilitating top-down and bottom-up risk assessments, focused on existing and emerging risk areas</li><li>
Practical experience with Basel, COSO, ERM, risk and control self-assessment tools, methodologies and concepts</li><li>
Bachelor's degree require</li><li>
Knowledge of Framework methodology and practice.</li><li>
Advanced user of Microsoft Excel, Word, PowerPoint skills and experienced in the use of internal IT systems.</li><li>
Use of GRC and PowerBI tools is desirable</li><li>
Strong organisational and time management skills, as well as ability to work under pressure.</li><li>
Strong skills in resolving problems and negotiating issues.</li><li>
Confident working independently and remotely from team members</li><li>
 Experience working in a regulated environment and knowledge of the risk and compliance requirements associated with this.</li></ul>
Salary Range: $125,000 to $185,000 per year and eligible for discretionary bonus.
Marex Benefits for 2025 (https://www.marex.com/usa-benefits-at-a-glance/)
Company Values
Acting as a role model for the values of the Company:
Respect
&ndash; Clients are at the heart of our business, with superior execution and superb client service the foundation of the firm. We respect our clients and always treat them fairly.
Integrity 
&ndash; Doing business the right way is the only way. We hold ourselves to a high ethical standard in everything we do &ndash; our clients expect this and we demand it of ourselves.
Collaborative 
&ndash; We work in teams &ndash; open and direct communication and the willingness to work hard and collaboratively are the basis for effective teamwork. Working well with others is necessary for us to succeed at what we do.
Developing our People 
&ndash; Our people are the basis of our competitive advantage. We look to &ldquo;grow our own&rdquo; and make Marex the place ambitious, hardworking, talented people choose to build their careers.
Adaptable and Nimble 
&ndash; Our size and flexibility is an advantage. We are big enough to support our client's various needs, and adaptable and nimble enough to respond quickly to changing conditions or requirements. A non-bureaucratic, but well controlled environment fosters initiative as well as employee satisfaction.
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.
#LI-PP1</div>

Operational Risk Manager

<div><div><div>Full-Time in<div></div> Abu Dhabi, AE -<div></div> Compliance</div></div><div><div>
About Marex
Marex Group plc is a diversified global financial services platform, providing essential liquidity, market access and infrastructure services to clients in the energy, commodities and financial markets. It listed on Nasdaq Global Select Market in April 2024. With more than 35 offices in Europe, US and APAC, it 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.

For more information visit www.marex.com
Role Summary

The Deputy Chief Compliance Officer will play a pivotal role in supporting the Chief Compliance Officer in overseeing the firm's compliance efforts and ensuring adherence to regulatory requirements. This position requires strong leadership skills and the ability to effectively manage compliance functions within the organization.

Key Responsibilities
<ul><li>Assist in the development, implementation, and maintenance of a comprehensive compliance program to ensure adherence to regulatory standards.</li><li>
Support the Chief Compliance Officer in liaising with regulatory authorities, maintaining effective communication, and ensuring timely compliance.</li><li>
Contribute to the development and enforcement of Anti-Money Laundering (AML) policies, procedures, and controls.</li><li>
Assist in conducting regular compliance risk assessments and implementing measures to mitigate risks.</li><li>
Collaborate with compliance team members to provide guidance and support in daily activities.</li><li>
Assist in overseeing compliance training programs for employees to ensure understanding of regulatory obligations.</li><li>
Contribute to the preparation and submission of regulatory reports and filings.</li><li>
Stay informed about regulatory developments and assess their impact on the firm.</li><li>
Assume the responsibilities of the Chief Compliance Officer in their absence or as delegated.</li><li>
Ensure the effective implementation of the firm&rsquo;s compliance and AML/Counter-Terrorist Financing (CTF) policies and procedures.</li><li>
Design and implement the compliance monitoring plan, performing monitoring and surveillance subsequent reviews.</li><li>
Provide support and guidance to staff on regulatory, policy, and procedural issues and application.</li><li>
Assist with client inquiries and regulatory requests for information.</li><li>
Identify, log, and resolve compliance issues, client complaints, and policy and regulatory breaches.</li><li>
Review and update Compliance and AML/CTF policies and procedures in line with regulatory changes.</li><li>
Provide compliance and AML/CTF training to staff.</li><li>
Ensure timely completion and filing of regulatory and AML reports with the regulator.</li><li>
Provide the Chief Compliance Officer, SEO, and Group Senior Management with compliance management information, ensuring their full awareness of all salient matters and advising on regulatory implications of future business strategies.</li><li>
Stay up to date with AML/CTF and regulatory developments both locally and internationally, including the Securities and Commodities Authority Rulebook, FSRA&rsquo;s AML Rulebook, and international best practices.</li><li>
Develop and maintain a positive and constructive relationship with Regulators and promptly respond to any request for information made by the FSRA or any other competent authorities of the UAE.</li></ul>

Skills and Experience
<ul><li>Bachelor's degree in a relevant field; advanced degrees or certifications preferred.</li><li>
Substantial experience in compliance within financial services.</li><li>
Knowledge of local and international regulatory requirements in AML and KYC.</li><li>
Strong communication and teamwork skills.</li><li>
Strong understanding of regulatory requirements in financial services, particularly in the Abu Dhabi region.</li><li>
Ability to collaborate effectively with internal and external stakeholders.</li><li>
Proven track record of working in financial services.</li><li>
Experience in building working relationships with Regulators, with direct experience working with FSRA and/or SCA.</li><li>
Ability to advise Group colleagues on complex regulatory issues.</li><li>
Ability to work to short timelines in a fast-paced environment.</li><li>
Fluent in English</li><li>
Fluent in Arabic (both written and spoken) will be considered as advantage</li><li>
Prior registration with SCA as Compliance Officer will be considered as advantage.</li></ul>

Competencies
<ul><li>Excellent verbal and written communication skills</li><li>
A collaborative team player, approachable, self-efficient and influences a positive work environment</li><li>
Demonstrates curiosity</li><li>
Resilient in a challenging, fast-paced environment</li><li>
Ability to take a high level of responsibility in a fast pace and high-volume environment</li><li>
Excels at building relationships, networking and influencing others</li><li>
Strategic collaborator with insight and agility, able to anticipate future challenges, ensuring operational effectiveness
</li></ul>Conduct Rules

You must:
<ul><li>Act with integrity</li><li>
Act with due skill, care and diligence</li><li>
Be open and cooperative with the FCA, the PRA and other regulators</li><li>
Pay due regard to the interests of customers and treat them fairly</li><li>
Observe proper standard of market conduct</li><li>
Act to deliver good outcomes for retail customers</li></ul>

Company Values
Acting as a role model for the values of the Company:

Respect - Clients are at the heart of our business, with superior execution and superb client service the foundation of the firm. We respect our clients and always treat them fairly.

Integrity - Doing business the right way is the only way. We hold ourselves to a high ethical standard in everything we do &ndash; our clients expect this and we demand it of ourselves.

Collaborative - We work in teams - open and direct communication and the willingness to work hard and collaboratively are the basis for effective teamwork. Working well with others is necessary for us to succeed at what we do.

Developing our People - Our people are the basis of our competitive advantage. We look to &ldquo;grow our own&rdquo; and make Marex the place ambitious, hardworking, talented people choose to build their careers.

Adaptable and Nimble - Our size and flexibility is an advantage. We are big enough to support our client&rsquo;s various needs, and adaptable and nimble enough to respond quickly to changing conditions or requirements. A non-bureaucratic, but well controlled environment fosters initiative as well as employee satisfaction.

Marex is fully committed to the elimination of unlawful or unfair discrimination and values the differences that a diverse workforce brings to the company.</div></div></div>

Senior Compliance Officer - Marex AD

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MAREX

ABOUT_COMPANY

Operational Risk Manager

Senior Compliance Officer - Marex AD