Marex Spectron

SOX Governance & Compliance Associate (VN3084)

Marex Spectron • $125K — $140K *
Chicago, IL 60629In-Person
Finance & Insurance
Less than 5 years of experience
Today
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Job Overview by Ladders

Qualifications

  • CPA or financial controls certifications preferred
  • Knowledge of SOX Section 302/404 and PCAOB auditing standards
  • Experience with internal or external audits relevant to SOX compliance
  • Experience in financial services including broker-dealers, asset managers, or banking
  • Proficient in Microsoft Excel, PowerPoint, and Visio
  • Experience using AI technology for operational efficiency
  • Strong analytical and accounting skills

Responsibilities

  • Build and maintain relationships with control owners across various departments
  • Review and maintain SOX controls for compliance and operational effectiveness
  • Perform testing of balance sheet and income statement controls
  • Support annual SOX-related testing and activities with the technology team
  • Demonstrate high standards of integrity and conduct consistently
  • Adhere to internal policies and report any breaches
  • Provide input to risk management processes as needed

Benefits

  • Flexible working arrangements
  • Professional development opportunities
  • Collaborative work environment
  • Mentorship programs
  • Comprehensive health benefits
Full Job Description
Role Summary

The SOX Governance & Compliance Associate will be responsible for support the Sarbanes-Oxley (SOX) control process for Marex activities in the Americas. These duties will include updating and maintaining process flow maps, oversight and completeness testing of control design and operational effectiveness, deficiency tracking and severity assessment, and other SOX related processes.

Responsibilities
  • Build and maintain relationships with control owners including personnel in Risk, Treasury, Finance, Operations and Front Office areas and gain commercial understanding of the relevant businesses and their operational processes.
  • Review SOX controls completed at all levels of business:
    • Maintaining process flow documentation to ensure the corresponding controls assigned are in compliance with SOX.
    • Review and Test Controls: Regularly assess the effectiveness of controls through testing and monitoring to ensure they are operating as designed and remain effective over time.
  • Perform scheduled testing of balance sheet substantiation controls and income statement controls, ensuring that the Control Owners take into consideration (where relevant):
    • Maintaining the internal controls assigned in compliance with SOX requirements, including EUC, IUC and MRC.
    • Duties include ensuring appropriate systems and controls are in place for reporting and compliance under SOX
  • Support annual SOX related testing including by not limited to: IT Application Control testing, SOC 1&2 reports for in-scope applications, and other activities that require coordination with the Marex technology team.
  • 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
  • CPA, and/or financial controls certifications preferred
  • Knowledge of SOX Section 302/404 requirements, and PCAOB auditing standards
  • Experience with Internal or external audit preferable as it pertains to SOX compliance
  • Experience in financial services activity including broker-dealers, asset managers or banking
  • Excellent verbal and written communication skills
  • Proficient in Microsoft Excel, Power Point and Visio
  • Experience with the use of AI technology to improve efficiency
  • Analytical and accounting skills
  • Demonstrates curiosity and is detail oriented
  • Resilient in a challenging, fast-paced environment
  • Excels at building relationships, networking and influencing others
  • Strategic collaborator with insight and agility, ensuring operational effectiveness

Salary Range: $125,000 to $140,000 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

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