Operations Regulatory Reporting Analyst

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 2300 dedicated people enabling access to exchanges and technology-powered services.

For more information visit www.marex.com

Purpose of Role:

To support and maintain operational systems and static data associated to regulatory reporting processes/controls, and support, maintain and develop all financial and/or regulatory reporting solutions/controls to meet the firms exchange and regulatory requirements across multiple asset classes including Futures, Options, Swaps, Equities and Fixed Income.

Responsibilities

• Daily monitoring and problem resolution associated to CAT, CAIS, Dodd Frank, CFTC LTR (for Futures and Part 20) and other Position and Transactional reporting
• Support/maintain general static data, Exchange and Regulatory enrichment information across platforms utilised by Operations.
• Assist with system changes and upgrades in line with business, exchange & regulatory requirements.
• Ensure written procedures are in place and up to date for daily/monthly departmental tasks
• Efficient email management, including both personal & group mailboxes
• Ensuring compliance with the company’s exchange/regulatory requirements under and not limited to FINRA, SEC and CFTC
• Adhere to the operational risk framework for your role ensuring that all regulatory or company determined parameters are complied with.
• Role model for demonstrating highest level standards of integrity and conduct and reflecting Company Values.
• At all times complying with Marex’s Code of Conduct
  • 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
  • To report any breaches of policy to Compliance and/ or your supervisor as required
  • To escalate risk events immediately
  • To provide input to risk management processes, as required.

The Company may require you to carry out other duties from time to time.

Competencies, Skills, and Experience:

Competencies

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

Skills and Experience

• SME in OTC Derivatives Regulatory Reporting requirements
• Experience of CAT, CAIS, Trace and other transactional Regulatory Reporting requirements essential
• Strong knowledge of applicable securities laws, rules and regulations with the ability to assess firm impact. Specifically, FINRA, SEC, OCC, CFTC, NFA and other Self Regulatory Organizations.
• Previous exposure/Knowledge of Dodd Frank
• Ability to work effectively under pressure in a busy environment
• Good communication skills within team & other business areas
• Punctual & enthusiastic
• Flexible & accustomed to constant changing responsibilities
• Following a strict & disciplined regime, offering assistance to all employees
• Demonstrates enhanced understanding of Futures & Options industry in areas including; Reconciliations, Position Maintenance, Regulatory Reporting and static data
• Problem solving skills; ability to resolve issues in a timely & efficient manner
• MS Office experience
• Able to work on own initiative & be part of a team
• Attention to detail
• Ability to develop and enhance systems and processes to improve efficiency
• Experience working in a regulated environment and knowledge of the risk and compliance requirements associated with this.

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.

Marex’s goal is to build and maintain a workforce that is diverse in experience and background but uniform in reflecting our standards of integrity and excellence. Consequently, our recruiting efforts reflect our desire to attract and retain the best and brightest from all talent pools. We want to be the employer of choice for prospective candidates. We encourage applications from candidates returning to the job market.

It is the policy of Marex to ensure equal employment opportunity without discrimination or harassment on the basis of race, color, religion, creed, age, sex, sex stereotype, gender, gender identity or expression, transgender, sexual orientation, national origin, citizenship, disability, marital and civil partnership/union status, pregnancy, veteran or military service status, genetic information, or any other characteristic protected by law.

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Last updated on Oct 4, 2024