Compliance Officer – Broker-Dealer Advisor (Equities & Options)

About the role

Marex is seeking a Broker-Dealer Compliance Advisor focused on Equities and Options. The role serves as a subject‑matter expert on U.S. broker‑dealer regulation, providing advisory support to front‑office teams and ensuring compliance with FINRA, SEC and internal policies.

Key responsibilities

• Support the Head of U.S. Broker‑Dealer Compliance and advise front‑office teams on day‑to‑day activities.
• Review, draft and enhance U.S. Broker‑Dealer policies, procedures and Written Supervisory Procedures.
• Assess new business initiatives, products and markets for compliance before launch.
• Ensure timely completion of compliance calendar deadlines and adherence to regulatory requirements.
• Act as a liaison with regulators, responding to inquiries and supporting examinations.

Required profile

• At least eight years of experience in a legal or compliance role within the financial industry.
• Bachelor’s degree in Finance, Economics, Business or related field (JD or graduate degree preferred).
• Strong knowledge of U.S. broker‑dealer regulations, equity options and listed options trading.
• Ability to work in a matrix organization and communicate across functions.
• Demonstrated integrity, resilience and collaborative mindset.

Required skills

• Experience with equity options.
• Knowledge of U.S. Broker‑Dealer regulatory matters (FINRA, SEC).

What we offer

• Base salary $150,000‑$185,000 per year plus discretionary bonus.
• Comprehensive benefits package for 2026.
• Opportunity to work in a global firm with over 2,300 employees and 35 offices worldwide.