Onboarding Team Lead and Supervisor

About Marex

Marex Group plc (NASDAQ: MRX) is a diversified global financial services platform providing essential liquidity, market access and infrastructure services to clients across energy, commodities and financial markets. The group provides comprehensive breadth and depth of coverage across four core services: clearing, agency and execution, market making, and hedging and investment solutions. It has a leading franchise in many major metals, energy and agricultural products, with access to 60 exchanges. 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 40 offices worldwide, the group has over 2,300 employees across Europe, Asia and the Americas.

For more information visit https://www.marex.com/

Role Summary

We’re looking for a Supervisor to lead the Abu Dhabi Onboarding and KYC process Team. They will be responsible for carrying out the Onboarding function and ensuring that customers across business divisions are on-boarded efficiently and in accordance with Group policies and procedures.

The Client Onboarding and Periodic Review Department is responsible for conducting the process of identifying and verifying new customers and performing ongoing reviews for existing customers. The team plays a key role in combatting financial crime and terrorist financing.

Responsibilities

• Lead the Abu Dhabi London Onboarding and Quality Control teams:
• Be the primary point of contact for onboarding related matters in Abu Dhabi
• Manage & prioritise the customer pipeline on a weekly basis with the business
• Coach, train and support the local team, including performance management and upskilling
• Perform Quality Assurance on Low and Medium risk approvals
• Produce and monitor Onboarding and Management Information
• Ensure that appropriate CDD / KYC and AML checks are carried out on clients in accordance with group and local regulatory requirements, in conjunction with the Financial Crime teams
• Ensure that appropriate customer classifications are carried out in accordance with local regulatory requirements
• Ensure that appropriate client documentation is captured for all clients and in accordance with local regulatory and any exchange requirements
• Ensure that the integrity of the static data inputted by the on-boarding team into the Client Data Base (Neon Onboarding and PeopleSoft)
• Provide constructive feedback to On-boarding analysts and provide guidance where required to address any knowledge gaps
• Help instil best practices and consistency from Analysts in document submission to create a consistent model for document submission, naming and annotating
• Work closely with Head of Onboarding EMEA and Head of Periodic Review to ensure onboarding and periodic review process is robust and effective, suggestion enhancement as and when necessary
• Ensure that procedures, including local addendums are kept up to date in line with Onboarding Standards
• Assist with Development and implementation of Global Onboarding platform (Neon), catering for Abu Dhabi needs and requirements
• Assist with implementation of changes within the department (regulatory and operational) and always endavour to streamline processes and procedures for a best in practice client experience
• Assist on any other ad-hoc reviews/projects/audits that the Onboarding department is required to carry out
• To work closely with the Financial Crime team
• Keeping management timely informed of issues/developments
• Perform Quality Control reviews as and when required and approve the customers across business divisions being on-boarded are in accordance with Group KYC and AML policies and procedures.
• Ensuring compliance with the company’s regulatory requirements under the FCA, NFA, FINRA AMF, MAS, SFC, ASIC, DFSA, FSRA.
• 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.
  
  

Skills And Experience

• 3 plus years experience* leading onboarding/KYC/periodic review teams
• Knowledge of KYC and risk assessment engine
• Self-starting; takes initiative and ownership
• Strong prioritisation skills; able to manage to time critical deliverables
• Analytical skills
• Problem solving skills
• Organisation skills
• Management information and reporting skills
• Experience and knowledge onboarding Middle Eastern clients
• Experience working in a regulated environment and knowledge of the risk and compliance requirements associated with this.
  
  

Competencies

• A collaborative team player, approachable, self-efficient and influences a positive work environment.
• 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.
• Attention to detail.
  
  

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
• Pay due regard to the interests of customers and treat them fairly
• Observe proper standard of market conduct
• Act to deliver good outcomes for retail customers
  
  

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.

• candidates with experience outside of this range will still be considered