Quality Control Analyst (VN3044)

Overview of Marex

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 [do not delete].

The US Onboarding team is responsible for facilitating the account opening process across a number of different entities in the United States. The team will work with brokers or client services to gather the proper documentation and configuring the client’s static data withing People Soft and other applicable systems.

Role Summary

The Quality Control (QC) Analyst is responsible for conducting independent quality reviews of Know Your Customer (KYC) onboarding and periodic review files to ensure compliance with the Global KYC Standard/US KYC addendum, Unregulated KYC Addendum and Brazil KYC addendum, regulatory requirements, and internal Financial Crime Compliance controls.

The role serves as a critical control function within the customer lifecycle, validating that customer identification, verification, due diligence, risk assessments, screening, and approval processes have been completed accurately and consistently before customer acceptance or review completion.

Overall Responsibilities

• Quality Control Review
  • Perform QC reviews of onboarding, periodic review, and event-driven review files
  • Validate KYC documentation, customer risk ratings, screening results, and required approvals
  • Identify control gaps, documentation deficiencies, and remediation opportunities
  • Track QC findings and provide coaching to analysts

• KYC Review & Due Diligence Oversight
  • Oversee CDD, EDD, and periodic reviews across all customer types
  • Review onboarding documentation and validate beneficial ownership, control persons, and customer classifications
  • Confirm screening requirements and escalate potential AML or compliance concerns

• Regulatory Compliance
  • Ensure compliance with applicable AML, KYC, sanctions, CFTC, NFA, FINRA, FinCEN, and local regulatory requirements
  • Maintain policies, procedures, and audit-ready documentation
  • Support regulatory examinations, audits, risk assessments, and remediation efforts

• Cross-Functional Coordination
  • Partner with Sales, Legal, Financial Crime, and global onboarding teams on KYC matters
  • Resolve onboarding issues, policy questions, and complex ownership structures
  • Communicate requirements and regulatory updates to stakeholders

• Quality Assurance & Process Improvement
  • Conduct QA reviews and monitor documentation quality
  • Maintain procedures, playbooks, and training materials
  • Drive process improvements, reporting, and technology enhancements

• Training & Development
  • Deliver KYC/AML training and ongoing coaching to team members
  • Educate business stakeholders on onboarding requirements and documentation standards
  • Support cross-training initiatives across global teams

• General Responsibilities
  • Comply with applicable regulations, internal policies, and the Marex Code of Conduct
  • Adhere to operational risk and control frameworks
  • Escalate risk events and policy breaches as required
  • Support risk management and continuous control improvement initiatives

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 others
• Strategic collaborator with insight and agility, able to anticipate future challenges, ensuring operational effectiveness
• Excellent communication skills with the ability to explain regulatory concepts to non-technical stakeholders
• Strong attention to detail and ability to balance accuracy with efficiency
• Leadership qualities with the ability to coach and motivate analysts

Skills and Experience

• 4-7+ years of KYC/AML experience, preferably at an FCM or broker-dealer, or entities with similar regulatory frameworks in Brazil
• Exposure to omnibus, IB, and CTA documentation (highly preferred), or similar Brazilian regulatory frameworks
• Strong understanding of CFTC/NFA/Brazilian rules applicable to customer identification, disclosure, and account documentation
• Familiarity with entity structures (trusts, SPVs, funds, SCCs, foreign corporates, broker-intermediated accounts)
• Experience with AML systems, sanctions screening tools, and KYC workflow platforms.
• Experience working in a regulated environment and knowledge of the risk and compliance requirements associated with this

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 are 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.

Conduct Rules

You must:

• Act with integrity
• Act with due skill, care, and diligence
• Be open and cooperative with the FCA, the PRA and other regulators (where applicable)
• Pay due regard to the interests of customers and treat them fairly
• Observe proper standard of market conduct