Compliance Officer – Regulatory & Reporting
Marex Spectron are a market-leading commodity broking company, with a thriving Chicago office.
Overall purpose of role:
A Compliance Officer-Regulatory & Reporting is responsible for ensuring all applicable personnel (and affiliates) meet the reporting and regulatory requirements of all exchanges, the NFA and the CFTC. The Compliance Officer will do this by replying to inquiries, performing surveillance of various systems and reviewing/approving all necessary requests from other departments.
• Coordinate and submit replies to subpoenas and other inquiries from the NFA, exchanges or CFTC
• Respond to audits confirmations and any other confirmations
• Assisting in the submission of the requested CFTC Forms 102 or trader data to the regulators
• Ownership and Control Reporting (OCR) data maintenance and updates; updating customer files with trader information.
• Approve all promotional material produced by Marex North America LLC APs and affiliates
• Review and follow up on any customer screening alerts generated by third party due diligence software in order to comply with regulatory and AML obligations.
• Review various reports for any suspicious trading activity or customer money movements
• Review incoming and outgoing money movement, checks, wires, ACH’s for AML requirements.
• Review and approve third party payments in and out of customer accounts in order to satisfy company and industry AML obligations.
Skills & Experience:
• Candidate must have strong written and verbal communication skills
• Strong collaboration skills and ability to communicate effectively with other departments
• The ability to create and maintain well documented records and present reports in a clear and accurate manner
• Knowledge of industry rules and regulations; 3 years of experience a plus
• Proficiency in Microsoft office such as MS Word and PowerPoint and Excel and the creation of pivot tables and charts.
• Self-motivated, flexible and enthusiastic
• Must be organized and detail oriented
• Ability to work in a fast-paced environment and be an effective multi-tasker
If this sounds like a fitting next step in your career, we’d love to hear from you!