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    Control Testing - Chicago, United States - Marex Spectron

    Marex Spectron
    Marex Spectron Chicago, United States

    2 weeks ago

    Default job background
    Full time
    Description

    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 2,000 dedicated people enabling access to exchanges and technology-powered services.

    For more information visit

    Purpose of Role:

    The Control Testing & Assurance Manager is responsible for assisting the Firm in the identification, evaluation, control testing, and management of operational risk whilst supporting the operational risk strategy and driving a proactive operational risk culture. The role assists in the implementation of the Operational Risk Management Framework in North America, a priority region.

    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 Risk department at Marex is responsible for assessing and managing various financial and operational risks that the company may face. The department employs analytical tools to monitor and mitigate potential threats and contributes towards maintaining Marex's overall financial stability by implementing robust risk management practices, the department contributes towards maintaining Marex's overall financial stability.

    Responsibilities:

  • Responsible for establishing and rolling out a control testing program.
  • Work with stakeholders on control findings and appropriate remediation actions.
  • Work collaboratively with business areas, specifically in North America in the ongoing buildout of the operational risk profile.
  • Responsible for creation of operational risk reporting, specifically as it relates to control testing results, to relevant governance for senior management.
  • Provide training, guidance, and support when needed.
  • 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 ConductTo 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 responsibilityTo report any breaches of policy to Compliance and/ or your supervisor as requiredTo escalate risk events immediatelyTo 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

  • 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.
  • Ability to communicate complex requirements simply and to translate them into viable business practices and procedures.
  • 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

  • Minimum of five (5) years of experience in Internal or External Audit or Compliance Testing required
  • Bachelor's degree required
  • Robust risk and control testing knowledge
  • Good knowledge of Framework methodology and practice.
  • Knowledge of Bank Regulations, Broker-Dealer risks, and regulations (including Dodd Frank).
  • Effective report writing and oral communication skills, including the ability to communicate complex requirements simply and translate them into viable business practices and procedures
  • Strong Excel, Word, PowerPoint skills and experience in the use of internal IT systems.
  • Use of GRC and PowerBI tools desirable
  • Experience with a GRC and PowerBI tools.
  • Experience working in a regulated environment and knowledge of the risk and compliance requirements associated with this.

    • Marex is fully committed to the elimination of unlawful or unfair discrimination and values the differences that a diverse workforce brings to the company.

    We are an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability status, protected veteran status, or any other characteristic protected by the law.

    #LI-PP1

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