Understanding of trade life cycle events strongly preferred
Responsibilities
Supervise daily activity of Broadridge BPO
Collaborate with the Broadridge team to resolve trade breaks
Provide middle-office support for U.S. equity and options trading
Review and validate trade capture for accuracy
Investigate trade breaks and operational exceptions
Perform post-trade allocations through CTM and NYFIX Match
Monitor failed trades and coordinate resolutions with stakeholders
Benefits
Opportunity for professional growth in a dynamic environment
Engagement with a diverse range of equity and options business lines
Collaborative team culture with a focus on continuous improvement
Exposure to regulatory compliance and operational risk management
Potential for flexible working hours to accommodate early and late shifts
Full Job Description
Role Summary
Marex is seeking a Senior Equity Operations Support Specialist who will be part of a team responsible for supporting various equity and options business lines including Prime Brokerage, Institutional Agency Brokerage, ADR Market Making and ETFs. The role combines operational oversight, trade support, control execution, exception management, and continuous process improvement in a regulated environment.
Responsibilities
Supervise daily activity of Broadridge BPO.
Work closely with the Broadridge team to identify and resolve breaks.
Provide daily middle-office support for U.S. equity and options trading activities supporting Prime Brokerage and Institutional Brokerage businesses.
Review and validate trade capture and ensure accurate trade allocation within firm systems.
Perform post-trade allocations through CTM and NYFIX Match
Support DVP/RVP, free delivery, and settlement activity within DTC.
Process ETF creations and redemptions.
Monitor failed trades and coordinate timely resolution with internal and external stakeholders.
Assist with corporate actions and events impacting equity positions and transactions.
Perform end-of-day reconciliations and control checks across products, systems, and trade flows.
Adhere to and enhance the operational control framework supporting the business.
Perform and evidence daily controls within the SOX control environment.
Ensure compliance with the company's regulatory requirements under the SEC, FINRA, NFA, CFTC and other applicable exchanges.
Adhere to the operational risk framework for your role ensuring all regulatory and company parameters are met.
All employees are expected to understand and comply with any Sarbanes Oxley operational requirements relevant to their role.
Ensuring compliance with the company's regulatory requirements under the SEC, FINRA, NFA, CFTC and other applicable exchanges.
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
Astute thinker with aptitude to learn.
Effective problem solver who can work independently as well as a part or a larger team.
Accurate and thorough with a client focus.
Strong interpersonal characteristics with ability to build relationships with internal staff across the firm as well as interact comfortably with MCM clients.
Strong work ethic (early and late shifts may be instituted and required from all staff).
Resilient in a challenging, fast-paced 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
At least (1-5) One to five years' experience in a Financial Institution required.
Bachelor's degree in finance, business, or related field
Working knowledge of Broadridge BPS strongly preferred
ADR conversion and ETF create/redeem experience a plus
Understanding of trade life cycle events strongly preferred
Ability to document procedures and controls
Excellent verbal and written communication skills
Experience working in a regulated environment and knowledge of the risk and compliance requirements associated with this.
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.
