The posting
About Marex
Marex Group plc (NASDAQ: MRX) is a diversified global financial services platform providing essential liquidity, market access and infrastructure services to clients across energy, commodities and financial markets. The group provides comprehensive breadth and depth of coverage across four core services: clearing, agency and execution, market making, and hedging and investment solutions. It has a leading franchise in many major metals, energy and agricultural products, with access to 60 exchanges. 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 40 offices worldwide, the group has over 2,300 employees across Europe, Asia and the Americas.
For more information visit https://www.marex.com/
Marex 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.
Marex 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.
The Audit team is a global function with presence in UK, US, Europe and Asia. The team consists of 29 individuals (i.e. 17 in London, 4 in Chicago, 4 in New York, 2 in Paris, and 2 in Singapore), with additional support sought from our co-source partners as required.
Role Summary
The Assistant Audit Manager will support the delivery of internal audit activities across Marex's US regulated entities, with a primary focus on regulatory-required audits. This is a hands-on role that assists in planning and executing risk-based audit assignments, documenting findings, and tracking management actions through to resolution. The position requires a solid understanding of US financial services regulation and the ability to engage effectively with business stakeholders across front office, compliance, and operations functions.
The Company may require you to carry out other duties from time to time.
Competencies, Skills and Experience
Competencies
- Applies sound audit judgment in identifying and assessing risks, evaluating control design and testing operating effectiveness
- Demonstrates a clear understanding of the US regulatory environment for broker dealers and derivatives intermediaries
- Excellent attention to detail and produces high quality, accurate workpapers, and reports
- Excellent verbal and written communication skills
- A collaborative team player, approachable, self-efficient and influences a positive work environment
- Maintains objectivity and professional skepticism at all times
- Resilient in a challenging, fast-paced environment
- Excels at building relationships, networking and influencing others
Skills and Competencies
- 3 to 5 years of Internal Audit experience in a complex financial services organisation(s)
- Working knowledge of US financial services regulations applicable to broker-dealers, FCMs, and Swaps Dealers
- Significant experience in conducting risk assessments and audits of a wide variety of complex financial systems
- Comprehensive knowledge and understanding of modern internal audit concepts and standards and their application to the financial services market
- Solid understanding of risk-based audit methodology and internal control frameworks
- Strong analytical and problem-solving skills, with the ability to interpret regulatory requirements and assess control adequacy
- Effective written and verbal communication skills
- Experience with FINRA supervisory controls testing, NFA Compliance program audits, or SEC examination support
- Familiarity with commodities, derivatives or cleared products businesses
- Experience working in a global financial services firm with multiple regulated entities
- Proficient in information technology skills
- Exposure to data analytics tools in an audit context
Salary Range: $80,000 to $110,000 per year and eligible for discretionary bonus.
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 are 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.
Conduct Rules
- Act with integrity
- Act with due skill, care and diligence
- Be open and cooperative with the FCA, the PRA and other regulators (where applicable)
- Pay due regard to the interests of customers and treat them fairly
- Observe proper standard of market conduct
Marex is fully committed to being an inclusive employer and providing an inclusive and accessible recruitment process for all. We will provide reasonable adjustments to remove any disadvantage to you being considered for this role. We value the differences that a diverse workforce brings to the company. We welcome applications from candidates returning to the workforce. Also, Marex is committed to avoiding circumstances in which the appearance or possibility of conflicts of interest may exist within the hiring process.
If you would like to receive any information in a different way or would like us to do anything differently to help you, please include it in your application.
