Operations Regulatory Reporting Analyst - VN2363

Marex•Chicago, IL

About The Position

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 2300 dedicated people enabling access to exchanges and technology-powered services. For more information visit www.marex.com Purpose of Role: Marex is seeking an Operations Regulatory Reporting Analyst who will support and maintain operational systems and static data associated to regulatory reporting processes/controls, and support, maintain and develop all financial and/or regulatory reporting solutions/controls to meet the firms exchange and regulatory requirements across multiple asset classes including Futures, Options, Swaps, Equities and Fixed Income.

Requirements

Excellent verbal and written communication skills
A collaborative team player, approachable, self-efficient and influences a positive work environment
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
Excels at building relationships, networking and influencing others
Strategic collaborator with insight and agility, able to anticipate future challenges, ensuring operational effectiveness
SME in OTC Derivatives Regulatory Reporting requirements
Experience of CAT (Consolidated Audit Trail), CAIS (Customer and Accounting Information Systems), Dodd Frank, CFTC LTR (Larger Trader Reporting), Trace and other transactional Regulatory Reporting requirements essential
Strong knowledge of applicable securities laws, rules and regulations with the ability to assess firm impact. Specifically, FINRA, SEC, OCC, CFTC, NFA and other Self Regulatory Organizations.
Previous exposure/Knowledge of Dodd Frank
Ability to work effectively under pressure in a busy environment
Good communication skills within team & other business areas
Punctual & enthusiastic
Flexible & accustomed to constant changing responsibilities
Following a strict & disciplined regime, offering assistance to all employees
Demonstrates enhanced understanding of Futures & Options industry in areas including; Reconciliations, Position Maintenance, Regulatory Reporting and static data
Problem solving skills; ability to resolve issues in a timely & efficient manner
MS Office experience
Able to work on own initiative & be part of a team
Attention to detail
Ability to develop and enhance systems and processes to improve efficiency
Experience working in a regulated environment and knowledge of the risk and compliance requirements associated with this.

Responsibilities

Daily monitoring and problem resolution associated to CAT (Consolidated Audit Trail), CAIS (Customer and Accounting Information Systems), Dodd Frank, CFTC LTR (Larger Trader Reporting) (for Futures and Part 20), Dodd Frank, and other Position and Transactional reporting
Support/maintain general static data, Exchange and Regulatory enrichment information across platforms utilised by Operations.
Assist with system changes and upgrades in line with business, exchange & regulatory requirements.
Ensure written procedures are in place and up to date for daily/monthly departmental tasks
Efficient email management, including both personal & group mailboxes
Ensuring compliance with the company’s exchange/regulatory requirements under and not limited to FINRA, SEC and CFTC
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.