Marex Spectron

Head of Broker Dealer Compliance, Americas and Chief Compliance Officer (VN2908)

Marex Spectron • $290K — $335K *
New York, NY 10025In-Person
Finance & Insurance
8 - 10 years of experience
Yesterday
Be an Early Applicant
Job Overview by Ladders

Qualifications

  • 10+ years of Broker Dealer Compliance experience with expertise in U.S. securities regulations (SEC, FINRA, OCC)
  • Proven leadership ability to build and motivate high-performing teams
  • Strong regulatory judgment and risk assessment capabilities
  • Exceptional communication skills for stakeholder management
  • Demonstrated ability to defend compliance decisions in a regulatory environment
  • Strategic and proactive mindset to anticipate risks and regulatory changes
  • Collaborative approach with a track record of cross-functional success
  • High integrity and resilience under pressure.

Responsibilities

  • Lead the Americas Broker Dealer Compliance team, focusing on talent management and performance
  • Act as primary Compliance advisor for U.S. Broker Dealer operations in trading activities
  • Collaborate with business leaders to provide risk-based compliance advice
  • Oversee adherence to broker dealer compliance frameworks and regulations
  • Direct compliance oversight on trade surveillance and regulatory reports
  • Ensure prompt completion of regulatory examinations and assessments
  • Maintain and enhance compliance-related policies and procedures
  • Foster a culture of compliance and risk awareness across the organization.

Benefits

  • Discretionary bonus eligibility
  • Opportunity to lead a high-performing compliance team
  • Exposure to diverse financial instruments across multiple trading activities
  • Engagement with senior management and front-office leaders
  • Dynamic and fast-paced regulatory environment
  • Support for professional development and training opportunities.
Full Job Description
Role Summary

The Head of Broker Dealer Compliance is an expert in Broker Dealer regulation that leads a team of compliance officers in providing compliance advisory services for Equities, Fixed Income, Listed Options trading activities as well as knowledge of various regulatory reporting requirements. The role primarily focuses on providing real-time compliance advisory services to the Americas Broker Dealer business units. Such guidance is tailored to resolving issues with consideration to regulatory requirements, regulatory and firm risk, and industry best practices. In addition, this role advises individuals within the various Marex Business lines from a Compliance perspective.

Responsibilities
  • Lead and develop the Americas Broker Dealer Compliance team, overseeing talent management, performance, training, and succession planning
  • Serve as the primary Compliance advisor to U.S. Broker Dealer businesses, providing guidance across Equities, Fixed Income, Listed Options, and related activities
  • Partner with business leaders and desk heads to deliver proactive, risk-based compliance advice and support strategic business initiatives
  • Oversee the firm's Broker Dealer compliance framework, ensuring adherence to SEC, FINRA, OCC, exchange, and other applicable regulatory requirements
  • Direct compliance oversight of key programs, including trade surveillance, regulatory reporting, employee compliance, and registration-related activities
  • Ensure timely completion of regulatory examinations, inquiries, compliance assessments, governance reviews, and reporting obligations
  • Maintain and enhance Broker Dealer policies, procedures, and Written Supervisory Procedures (WSPs) to address evolving regulatory requirements and business needs
  • Promote a strong culture of compliance, risk awareness, integrity, and ethical conduct while supporting the firm's operational risk management framework

Competencies, Skills & Experience
  • 10+ years of Broker Dealer Compliance experience with deep expertise in U.S. securities regulations, including SEC, FINRA, OCC, self-regulatory organizations, and applicable exchanges
  • Proven leadership experience with the ability to build, develop, and motivate high-performing teams
  • Strong regulatory judgment and the ability to analyze complex issues, assess risk, and deliver practical, business-focused solutions
  • Exceptional communication and stakeholder management skills, with the ability to influence senior management and front-office leaders
  • Proven ability to make, support, and defend complex compliance decisions in a fast-paced, highly regulated environment
  • Strategic, proactive, and intellectually curious, with the ability to anticipate emerging risks and regulatory developments
  • Collaborative and relationship-oriented, with demonstrated success working across functions, geographies, and levels of the organization
  • High degree of integrity, professionalism, resilience, and accountability, with the ability to manage multiple priorities and deliver results under pressure

Salary Range: $290,000 to $335,000 per year and eligible for discretionary bonus.

About Marex Spectron

Marex Spectron is a leading global commodities broker that provides a range of services to clients in the energy, metals, agriculture, and financial markets. The company offers a wide range of trading and hedging solutions, as well as market intelligence and research. Marex Spectron has a global presence, with offices in Europe, Asia, and North America. The company was formed in 2011 through the merger of Marex Financial and Spectron Group, and is headquartered in London, UK.
Learn more about Marex Spectron
Size
700 employees
Industry
Finance & Insurance
Founded
2005
* Ladders Estimates

Similar Jobs

Ad banner background

Get Ready For Your
Next Interview

More Jobs at Marex Spectron

More Finance & Insurance Jobs

Find similar Head of Broker Dealer Compliance, Americas and Chief Compliance Officer (VN2908) jobs:

NationwideNew York, NY