Marex
Regulatory Controller – VN2266 – Marex
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Regulatory Controller - VN2266
role at
Marex
Marex is a global financial services platform providing essential liquidity, market access, and infrastructure services to clients in energy, commodities, and financial markets.
The Group covers four core services: Market Making, Clearing, Hedging and Investment Solutions, and Agency and Execution. With more than 35 offices worldwide and over 2,300 people, we enable access to exchanges and technology‑powered services.
Purpose of Role Marex is seeking a Regulatory Controller who will be a key member of the North American finance function. The role ensures the integrity of financial information, supports consolidation, and provides analytical support to the wider Finance Team and Group.
The individual will improve the regulatory and reporting environment and assist across the entire Finance function.
Responsibilities
Assist the CFO with financial decisions by establishing, monitoring, and enforcing adequate policies and procedures.
Ensure compliance with all daily, semi‑monthly, and monthly regulatory reporting requirements for the FCM, including daily segment calculations, net capital comparisons, and SIDR reports.
Assist with onboarding and integration of new products or processes related to the FCM or Swap Dealer into relevant Accounting systems.
Implement and adhere to SOX controls and procedures relevant to oversight areas.
Assist the CFO with annual audits and reporting packages, generating necessary reports and providing information to external auditors and the parent company.
Monitor bank balances, supervising timely completion of manual and DIM bank reconciliations.
Provide status of financial condition by collecting, interpreting, and reporting financial data to keep the CFO aware of any financial and regulatory issues.
Responsible for monitoring, supervising, and training support staff.
Protect operations by keeping financial information and plans confidential.
Review and challenge balance sheet reconciliations.
Contribute to team effort by accomplishing related results as needed.
Ensure compliance with regulatory requirements under SEC, FINRA, NFA, CFTC, and other applicable exchanges.
Adhere to the operational risk framework and ensure all regulatory or company‑determined parameters are complied with.
Model highest level standards of integrity and conduct, reflecting Company Values.
Comply with Marex’s Code of Conduct and report any breaches or risk events promptly.
Provide input to risk‑management processes as required.
Competencies, Skills & Experience
Functional expertise and keeping up‑to‑date with emerging business, economic, and market trends.
Personal drive and motivation—handle multiple tasks, take initiative, and work intensively towards challenging goals.
Strategic collaborator with insight and agility, anticipating future challenges for operational effectiveness.
Experience: At least five (5) years in futures industry, preferably at a Futures Commission Merchant, other futures registrant, or regulatory agency.
Knowledge of NFA, CFTC, Exchange, and other SRO rules; prior regulatory experience is required.
Self‑motivated, highly dependable, organized, with strong attention to detail and written communication skills.
Advanced Excel and Microsoft Office skills; proficiency in PeopleSoft or similar Oracle accounting system.
Strong analytical and problem‑solving aptitude in a highly regulated environment.
Strong technical accounting skills; ability to resolve accounting issues and broaden knowledge.
Strong teamwork ethic and interpersonal skills; collaborates well within and across teams.
Experience working in a regulated environment and knowledge of risk and compliance requirements.
Proficiency in preparation of audited financial statements under US GAAP.
Track record of improving processes and adding value to stakeholders.
Education: Bachelor’s Degree required; Master’s Degree desired.
Series 27 or 99 required.
Salary Range $120,000 to $150,000 per year
and eligible for discretionary bonus.
Benefits Medical insurance, vision insurance, 401(k), paid maternity leave, child care support, paid paternity leave, tuition assistance.
Seniority Level Mid‑Senior level
Employment Type Full‑time
Job Function Accounting/Auditing and Finance
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.
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Regulatory Controller - VN2266
role at
Marex
Marex is a global financial services platform providing essential liquidity, market access, and infrastructure services to clients in energy, commodities, and financial markets.
The Group covers four core services: Market Making, Clearing, Hedging and Investment Solutions, and Agency and Execution. With more than 35 offices worldwide and over 2,300 people, we enable access to exchanges and technology‑powered services.
Purpose of Role Marex is seeking a Regulatory Controller who will be a key member of the North American finance function. The role ensures the integrity of financial information, supports consolidation, and provides analytical support to the wider Finance Team and Group.
The individual will improve the regulatory and reporting environment and assist across the entire Finance function.
Responsibilities
Assist the CFO with financial decisions by establishing, monitoring, and enforcing adequate policies and procedures.
Ensure compliance with all daily, semi‑monthly, and monthly regulatory reporting requirements for the FCM, including daily segment calculations, net capital comparisons, and SIDR reports.
Assist with onboarding and integration of new products or processes related to the FCM or Swap Dealer into relevant Accounting systems.
Implement and adhere to SOX controls and procedures relevant to oversight areas.
Assist the CFO with annual audits and reporting packages, generating necessary reports and providing information to external auditors and the parent company.
Monitor bank balances, supervising timely completion of manual and DIM bank reconciliations.
Provide status of financial condition by collecting, interpreting, and reporting financial data to keep the CFO aware of any financial and regulatory issues.
Responsible for monitoring, supervising, and training support staff.
Protect operations by keeping financial information and plans confidential.
Review and challenge balance sheet reconciliations.
Contribute to team effort by accomplishing related results as needed.
Ensure compliance with regulatory requirements under SEC, FINRA, NFA, CFTC, and other applicable exchanges.
Adhere to the operational risk framework and ensure all regulatory or company‑determined parameters are complied with.
Model highest level standards of integrity and conduct, reflecting Company Values.
Comply with Marex’s Code of Conduct and report any breaches or risk events promptly.
Provide input to risk‑management processes as required.
Competencies, Skills & Experience
Functional expertise and keeping up‑to‑date with emerging business, economic, and market trends.
Personal drive and motivation—handle multiple tasks, take initiative, and work intensively towards challenging goals.
Strategic collaborator with insight and agility, anticipating future challenges for operational effectiveness.
Experience: At least five (5) years in futures industry, preferably at a Futures Commission Merchant, other futures registrant, or regulatory agency.
Knowledge of NFA, CFTC, Exchange, and other SRO rules; prior regulatory experience is required.
Self‑motivated, highly dependable, organized, with strong attention to detail and written communication skills.
Advanced Excel and Microsoft Office skills; proficiency in PeopleSoft or similar Oracle accounting system.
Strong analytical and problem‑solving aptitude in a highly regulated environment.
Strong technical accounting skills; ability to resolve accounting issues and broaden knowledge.
Strong teamwork ethic and interpersonal skills; collaborates well within and across teams.
Experience working in a regulated environment and knowledge of risk and compliance requirements.
Proficiency in preparation of audited financial statements under US GAAP.
Track record of improving processes and adding value to stakeholders.
Education: Bachelor’s Degree required; Master’s Degree desired.
Series 27 or 99 required.
Salary Range $120,000 to $150,000 per year
and eligible for discretionary bonus.
Benefits Medical insurance, vision insurance, 401(k), paid maternity leave, child care support, paid paternity leave, tuition assistance.
Seniority Level Mid‑Senior level
Employment Type Full‑time
Job Function Accounting/Auditing and Finance
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.
#J-18808-Ljbffr