Quality Control Analyst (VN3044)

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.

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.

• →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

• 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

• 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

Acting as a role model for the values of the Company:

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