Head of Broker Dealer Compliance, Americas

About the role

The Head of Broker Dealer Compliance leads the Americas compliance team, providing real‑time advisory services for equities, fixed income and listed options trading. This senior position ensures adherence to U.S. securities regulations and supports business initiatives across Marex’s broker‑dealer units.

Key responsibilities

• Lead and develop the Americas Broker Dealer Compliance team, managing talent, performance and succession planning.
• Serve as the primary compliance advisor to U.S. broker‑dealer businesses, covering equities, fixed income, listed options and related activities.
• Oversee the broker‑dealer compliance framework, ensuring compliance with SEC, FINRA, OCC, exchange and other regulatory requirements.
• Direct key programs such as trade surveillance, regulatory reporting, employee compliance and registration activities.
• Maintain and enhance policies, procedures and Written Supervisory Procedures (WSPs) to meet evolving regulations.

Required profile

• 10+ years of broker‑dealer compliance experience with deep expertise in U.S. securities regulations.
• Proven leadership ability to build and motivate high‑performing teams.
• Strong regulatory judgment, analytical skills and the capacity to deliver business‑focused solutions.
• Exceptional communication and stakeholder‑management skills, able to influence senior management.

Required skills

• In‑depth knowledge of SEC, FINRA, OCC and related self‑regulatory organization rules.
• Experience with trade surveillance, regulatory reporting and registration processes.