Head of Transaction Monitoring and Investigations, Americas

Company: Marex Spectron
Location: Chicago
Posted on: June 2, 2025

Job 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 2,300 dedicated people enabling access to exchanges and technology-powered services.For more information visit Purpose of Role:The Head of Transaction Monitoring and Investigations, Americas leads a team that monitors and investigates customer transactions for potentially suspicious activity, and files SARs. This role is also responsible for leading the implementation of the transaction monitoring system.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 Financial Crime Compliance team is a second line function that works to mitigate risks related to financial crimes and criminal actors. The team partners with the business teams to ensure that the controls Marex has in place are sufficient to mitigate the financial crime risk the customer base and product offerings pose.Responsibilities:

• Responsible for the management of one or more direct reports, including full employee lifecycle of hiring, training and development, performance management, etc.
• Actively participate in daily transaction monitoring activities and investigations, setting an example for the team with your in-depth involvement and expertise.
• Oversee and enhance the transaction monitoring framework to detect, assess, and address suspicious activities effectively.
  --- Lead and personally engage in detailed investigations into suspicious transactions, ensuring timely and accurate reporting to regulators and senior management.
• Develop and implement transaction monitoring policies, procedures, and tools, ensuring alignment with local and international regulations
• Provide regular reports and updates to the Head of Financial Crime Compliance, Americas, senior management, and regulatory bodies as required.
• Work closely with internal stakeholders, including compliance, risk, legal, and operations teams, to address complex cases and refine processes.
• Maintain up-to-date knowledge of regulatory requirements and trends, representing Marex in discussions with auditors and regulators as needed
• Lead the implementation of the transaction monitoring system in Marex Americas.
• 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 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.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
    • Excels at building relationships, networking and influencing other
    • Strategic collaborator with insight and agility, able to anticipate future challenges, ensuring operational effectivenessSkills and Experience
      
      • Bachelor's degree in a related field require
      • At least Five to seven (5-7) years of AML experience.
      • Expert knowledge of US Financial Crimes laws (knowledge of Canadian and Brazilian regulatory environments is a plus).
      • Familiarity with BSA laws and regulations.
      • At least two (two) years' experience managing a team.
      • Excellent verbal and written communication skills (ability to write succinctly).
      • Experience working in a regulated environment and knowledge of the risk and compliance requirements associated with this.Salary Range: $150,000 to $180,000 per year and eligible for a discretionary bonus
        
        Company Values:Acting as a role model for the values of the Company:Respect -Clients are at the heart of our business, with superior execution and superb client service the foundation of the firm. We respect our clients and always treat them fairly.Integrity
        - Doing business the right way is the only way. We hold ourselves to a high ethical standard in everything we do - our clients expect this and we demand it of ourselves.Collaborative
        - We work in teams - open and direct communication and the willingness to work hard and collaboratively are the basis for effective teamwork. Working well with others is necessary for us to succeed at what we do.Developing our People
        - Our people are the basis of our competitive advantage. We look to "grow our own" and make Marex the place ambitious, hardworking, talented people choose to build their careers.Adaptable and Nimble
        - Our size and flexibility is an advantage. We are big enough to support our client's various needs, and adaptable and nimble enough to respond quickly to changing conditions or requirements. A non-bureaucratic, but well controlled environment fosters initiative as well as employee satisfaction.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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Keywords: Marex Spectron, Bartlett , Head of Transaction Monitoring and Investigations, Americas, Other , Chicago, Illinois