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Marex · 2 months ago

Onboarding Analyst - Broker Dealer - VN1784

New York, NY

Full-time

Onsite

Entry Level

$70K/yr - $85K/yr

1+ years exp

Marex is a global financial services platform providing essential liquidity and market access. The Onboarding Analyst will facilitate the onboarding process for new customers, ensuring compliance with regulatory requirements and maintaining customer data.

FinanceFinancial ServicesManagement Consulting

H1B Sponsor Likely

Responsibilities

Full coordination and collection of client documentation and requirements to facilitate KYC/AML review and approval

Ensure that appropriate CDD / KYC and AML checks are carried out on all new customers in accordance with local regulatory requirements and Group standards and procedures

Communicate with brokers, sales, and other support & control functions on necessary account documentation and deficiencies

Data entry of client & account data in client repositories and back-office systems

Account maintenance of static data updates in back-office systems

Participate in projects and maintenance of client static data in order to improve efficiencies and Compliance reporting

Ensuring compliance with the company’s regulatory requirements under the SEC, FINRA, NFA, CFTC and other applicable regulatory bodies

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

Qualification

KYC experienceFinancial industry knowledgeRegulatory compliance knowledgeBack-office systems proficiencyCustomer service skillsCommunication skillsOrganizational skillsTeam collaboration

Required

At least 1-3 (one to three years' of relevant financial industry experience; working for a FINRA registered BD and NFA registered FCM

Experience with KYC (Know Your Customer) and anti-financial crimes related regulatory requirements a plus

Ability to accurately identify a customer's applicable profile; e.g. Professional Trader, Hedge Fund, Institutional Investor

Strong understanding of FinCEN, FATCA and OFAC regulations

Knowledge of financial industry rules and regulations

Proficiency in back-office systems; experience with World Check a plus

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

Strong communication (oral and written) and leadership skills

Excellent customer-service skills

Strong organizational skills and detail-oriented

Ability to work in a fast-paced environment and be an effective multi-tasker

Ability to work independently and proactively take ownership of tasks & processes, yet understand when to escalate an issue

A collaborative team player, approachable, self-efficient and influences a positive work environment

Demonstrates curiosity

Resilient in a challenging, fast-paced environment

Excels at building relationships, networking and influencing others

Strategic collaborator with insight and agility, able to anticipate future challenges, ensuring operational effectiveness

Full coordination and collection of client documentation and requirements to facilitate KYC/AML review and approval

Ensure that appropriate CDD / KYC and AML checks are carried out on all new customers in accordance with local regulatory requirements and Group standards and procedures

Communicate with brokers, sales, and other support & control functions on necessary account documentation and deficiencies

Data entry of client & account data in client repositories and back-office systems

Account maintenance of static data updates in back-office systems

Participate in projects and maintenance of client static data in order to improve efficiencies and Compliance reporting

Ensuring compliance with the company's regulatory requirements under the SEC, FINRA, NFA, CFTC and other applicable regulatory bodies

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

Preferred

Bachelor's degree 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)