Compliance Project Manager

Marex Spectron; London; On-site; GBP 100,000 - 125,000; Full time

Job description

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.

Compliance provides expert advice, oversight and thought leadership in relation to relevant rules and regulations. Compliance is responsible for overseeing the adherence to regulatory requirements and expectations through compliance policies, advisory activity, training, monitoring, surveillance and supporting the firm to implement regulatory change.

Central Operations is responsible for managing the group compliance plan, strategic projects, management information, change activities, compliance technology and infrastructure, regulatory permissions, costs and resources.

Role Summary

• The Compliance Project Manager role supports the Head of Compliance Operations with change management activities across the Compliance function.
• The role will primarily focus on, and support, the following key areas which form part of the Compliance Operations Office:
• Manage projects which form part of the Group Compliance Transformation portfolio.
• Lead the end-to-end implementation of key business change and regulatory projects.
• Maintenance and appropriate escalation of RAID logs.
• Perform Business Analyst activities as required in a hybrid capacity (anticipated 70/30).
• As required, support the Group Compliance function to help drive through ad-hoc deliverables.

Responsibilities

• Support the delivery of group-wide Compliance projects which form part of the Group Compliance Transformation Programme.
• Plan and co-ordinate the prioritisation of Compliance change initiatives and deliverables.
• Manage Compliance projects across the project delivery lifecycle including planning, analysis, design, implementation, testing and transition to BAU.
• Develop core project artefacts including requirements documentation, testing plans, RAID logs and status reports.
• Coordinate requirement gathering and propose clear definition of the scope of a given project.
• Build and maintain strong and collaborative working relationships within Compliance, globally, and other key stakeholders in the business and risk & control functions.
• Support the Compliance team by undertaking ad-hoc compliance-related activities such as investigations or incident-related root cause analysis as directed.
• Develop an understanding of the processes, products and regulatory requirements applicable to Marex and how to assess these for compliance/ regulatory/ conduct risk.

Skills and Experience

• Experience of working within a small to medium sized financial services firm.
• Minimum 5-8 years’ experience is delivering on projects and programmes, including ‘hands-on’ delivery, through end-to-end lifecycle of delivery and transition to BAU.
• Experience of delivering on regulatory compliance change e.g. SMCR, MIFID, Trade Surveillance.
• Experience of performing gap analysis and eliciting and capturing and defining requirements.
• Experience on process modelling and improvements.
• Experience of dealing with various stakeholders (Front Office, IT, Finance, Risk, HR, etc).

Desirable

• Experience of working in both a brokerage/ trading firm as well as a large financial institution (investment bank, corporate bank, asset manager, etc.).
• Consultancy background.
• Any industry project management (PMP / Prince2) and / or business analyst certifications (SEN).

Competencies

• A collaborative team player, approachable, self-efficient and influences a positive work environment.
• Demonstrates curiosity and attention to detail.
• Resilient in a challenging, fast-paced environment.
• Ability to take instruction and take responsibility for own delivery in a fast pace and high-volume environment.
• Excels at building relationships, networking and influencing others.

Conduct Rules

You must:

• Act with integrity.
• Act with due skill, care and diligence.
• Be open and cooperative with the FCA, the PRA and other regulators.
• Pay due regard to the interests of customers and treat them fairly.
• Observe proper standard of market conduct.
• Act to deliver good outcomes for retail customers.

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 – 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 “grow our own” 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’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.

*Applicants outside of this range will also be considered.

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