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Marex · 1 month ago

Senior Equity Operations Support

New York, NY

Full-time

Onsite

Mid, Senior Level

$80K/yr - $110K/yr

5+ years exp

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 Senior Equity Operations Support role involves supervising daily operations, ensuring compliance with regulatory requirements, and improving processes for equity brokerage and prime brokerage desks.

FinanceFinancial ServicesManagement Consulting

H1B Sponsor Likely

Responsibilities

Supervise and evidence reviews of daily controls performed by the team

Supervise daily activity of Broadridge BPO, including Equity & Options P&S, DTC Settlements, and various Operational Controls

Work closely with Broadridge to implement new processes and to improve existing processes

Process all equity and option transactions including life cycle events (exercises and assignment, corporate actions, etc). Manage the trade flow through our various Middle Office systems

Monitor and resolve customer unaffirmed trades, street-side breaks and failed trades

Identify and clear breaks prior to open of the market and work with our clearing firm to process End-of-Day actions

Perform end-of-day controls to ensure proper trade booking and allocation processing

Floor brokerage invoice reconciliations

SEF (Swaps Execution Facility) trade processing for OTC Swaps

Adhere and propose improvements to control framework including SOX controls

Work with Front Office, Risk, Finance, Compliance, IT and Operations to support BAU (business as usual)

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

Qualification

EquitiesOptions experienceFINRA Series 99Broadridge BPS knowledgeDTC/NSCCOCC experienceTrade life cycle understandingVerbalWritten communicationProblem solvingTeam collaborationClient focus

Required

At least (5) five years' experience in a Financial Institution required

Bachelor's degree in Finance, Business, or related field

Experience supporting Equities and/or Options required

Experience with DTC/NSCC and OCC

Ability to document procedures and controls

Excellent verbal and written communication skills

Experience working in a regulated environment and knowledge of the risk and compliance requirements associated with this

Preferred

FINRA Series 99 strongly preferred

Working knowledge of Broadridge BPS strongly preferred

Experience supporting an Execution Desk preferred

Understanding of trade life cycle events strongly preferred

Company

Marex

Glassdoor2.8

Marex (Nasdaq:MRX) is a diversified financial services platform.

Founded in 2005

London, England, GBR

1001-5000 employees

http://marexspectron.com

H1B Sponsorship

Marex has a track record of offering H1B sponsorships. Please note that this does not guarantee sponsorship for this specific role. Below presents additional info for your reference. (Data Powered by US Department of Labor)

Distribution of Different Job Fields Receiving Sponsorship

Represents job field similar to this job

Trends of Total Sponsorships

2025 (11)

2024 (5)

2023 (1)