SOX Governance & Compliance Manager (VN3083) at Marex

Job description

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. 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. Marex is a publicly traded company on the NASDAQ since April of 2024. For more information visit marex.com Role Summary The SOX Governance & Compliance Manager will be responsible for managing the Sarbanes-Oxley (SOX) control process for Marex activities in the Americas. These duties will include updating and maintaining process flow maps, testing of control design and operational effectiveness, and other SOX related processes. Responsibilities Program Leadership & Strategy • Collaborate with the SOX leadership team to plan, execute and report across all US areas of the SOX annual cycle including but not limited to risk assessment, processes and control documentation and test of design, operating effectiveness testing, deficiency tracking and assessment and supporting remediation. • Provide guidance to key stake holder and support Management’s SOX certification processes for US controls. • Build relationships with process and control owners in Treasury, Finance, Operations and Front Office areas and gain commercial understanding of the relevant businesses and their operational processes and controls that support financial reporting. Control Evaluation & Testing • Plan and support execution of SOX control design and operating effectiveness testing to provide assurance of controls on behalf of Management across business areas. • Document and maintain the SOX control framework, including process narratives, risk-control matrices (RCMs), and control owner assignments. • Support the completion of design and operating effectiveness testing through direct oversight and hands-on activities including walkthroughs, testing and review of testing completed by SOX team members. • Evaluation and assessment of control deficiencies against financial reporting risks. • Assist with monthly and quarterly reporting of SOX compliance as applicable. • Support the annual SOX risk assessment, including scoping of significant accounts, processes, and entities (materiality, financial statement line items, IT general controls). • Ensure controls are designed, documented, and implemented effectively to address identified financial reporting risks, agreeing with business and control owners to identify strategic data sources and optimize efficiency by system/process. • Maintaining the internal controls assigned in compliance with SOX requirements, including concepts such as information used in controls, end-user computing and Management Review Controls. • Provide Executive level management Information to ensure appropriate focus and prioritization of remediation are in place for reporting and compliance under SOX. • Coordinate and perform where necessary annual SOX related reviews and analysis including by not limited to: IT Application Control testing, SOC 1&2 reports for in-scope applications, and other activities that require coordination with the Marex technology team. Stakeholder & External Audit Management • Serve as one of the primary points of contact for external auditors on SOX-related matters; manage the relationship, timeline, and issue resolution. • Support on-going reporting of SOX related status, key risks, and remediation progress to senior management, and other governance bodies. • Partner with business and finance process owners to educate and embed control ownership and accountability throughout the organization. Competencies, Skills and Experience • CPA, and/or financial controls certifications preferred • Knowledge of SOX Section 302/404 requirements, and PCAOB auditing standards • Experience with Internal or external audit preferable as it pertains to SOX compliance • Experience in financial services activity including broker-dealers, asset managers or banking • Proficient in Microsoft Excel, Power Point and Visio • Experience with the use of AI technology to improve efficiency • Analytical and accounting skills • Excellent verbal and written communication skills • Demonstrate curiosity • Resilient in a challenging, fast-pacing environment. • Takes a high level of responsibility. • Excels at building relationships, networking, and influencing others. • Strategic collaborator with insight and agility, able to anticipate future challenges, ensuring operational effectiveness. Salary Range: $200,000 to $235,000 per year and eligible for discretionary bonus Company Values Be collaborative - by working together across the organization, we foster teamwork, can better respond to challenges and successfully deliver for our clients Act with integrity - we pride ourselves on our honesty and high ethical standards. We apply these values when working with all our clients, colleagues and other stakeholders Be adaptable and entrepreneurial - we embrace change as markets evolve to constantly increase our efficiency and create innovative solutions for our clients. We are interested in the world around us and inquisitive about understanding the challenges and opportunities our clients face. Be respectful – how we treat each other, and our clients says everything about who we are. We always act respectfully and treat people fairly in everything we do. Nurture talent – we aim to grow our own talent and make Marex the place ambitious, hardworking and talented people choose to build their career. This means giving and taking stretch opportunities, taking risks, and committing to career development and support – for us, and our teams. Marex is fully committed to being an inclusive employer and providing an inclusive and accessible recruitment process for all. We will provide reasonable adjustments to remove any disadvantage to you being considered for this role. We value the differences that a diverse workforce brings to the company. We welcome applications from candidates returning to the workforce. Also, Marex is committed to avoiding circumstances in which the appearance or possibility of conflicts of interest may exist within the hiring process. If you would like to receive any information in a different way or would like us to do anything differently to help you, please include it in your application.

Requirements

Must-haves

Program Leadership & Strategy
Provide guidance to key stake holder and support Management’s SOX certification processes for US controls.
Control Evaluation & Testing
Plan and support execution of SOX control design and operating effectiveness testing to provide assurance of controls on behalf of Management across business areas.
Document and maintain the SOX control framework, including process narratives, risk-control matrices (RCMs), and control owner assignments.
Support the completion of design and operating effectiveness testing through direct oversight and hands-on activities including walkthroughs, testing and review of testing completed by SOX team members.
Evaluation and assessment of control deficiencies against financial reporting risks.
Assist with monthly and quarterly reporting of SOX compliance as applicable.
Support the annual SOX risk assessment, including scoping of significant accounts, processes, and entities (materiality, financial statement line items, IT general controls).
Maintaining the internal controls assigned in compliance with SOX requirements, including concepts such as information used in controls, end-user computing and Management Review Controls.
Provide Executive level management Information to ensure appropriate focus and prioritization of remediation are in place for reporting and compliance under SOX.
Stakeholder & External Audit Management
Serve as one of the primary points of contact for external auditors on SOX-related matters; manage the relationship, timeline, and issue resolution.
Support on-going reporting of SOX related status, key risks, and remediation progress to senior management, and other governance bodies.
Partner with business and finance process owners to educate and embed control ownership and accountability throughout the organization.
Competencies, Skills and Experience
Knowledge of SOX Section 302/404 requirements, and PCAOB auditing standards
Experience with Internal or external audit preferable as it pertains to SOX compliance
Experience in financial services activity including broker-dealers, asset managers or banking
Proficient in Microsoft Excel, Power Point and Visio
Experience with the use of AI technology to improve efficiency
Analytical and accounting skills
Excellent verbal and written communication skills

Nice-to-haves

CPA, and/or financial controls certifications preferred

Application prep

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