Senior Compliance Officer

This Senior Compliance position will report directly to the Deputy Chief Compliance Officer of Equities. The successful candidate will possess strong communication skills, superior writing skills and the ability to manage multiple tasks in a dynamic environment. The ideal candidate should have a solid understanding of the rules and regulations relevant to equities, options, and underwritings, with a minimum of 5 to 10years’ experience as a compliance officer at a FINRA registered broker dealer.

Primary Accountabilities/Responsibilities: 

• Identifies and interprets SEC, FINRA and self-regulatory organization rules and regulations to ensure firm policies and procedures comply with appropriate laws, regulations and industry guidance.
• Keeps abreast of new rules and regulations and how it affects the business activities of the firm to ensure firm policies and procedures are up to date.
• Works with all levels of management to ensure that appropriate supervisory processes and controls are established and documented within the areas of responsibility.
• Engages in proactive control testing of various products and systems, providing analysis on FINRA report card statistics, and coordinates with the business to implement corrective action accordingly.
• Assists on SFI’s best execution policies and oversight which includes coordinating with Trading on preparing and documenting the quarterly best ex meeting, validating 605 and 606 reporting, comparing data for accuracy on our vendor S3 to our various OMS files, review the payment for order flow and fees are properly displayed, and working with the trading desk on and files that need to be provided for look through to BDs.
• Develops, communicates and implements strategies, procedures and technology systems designed to enhance the firm’s compliance with applicable rules and regulations.
• Assist or lead on various compliance projects as needed; CAT Program, updating SFI Control procedures, WSPs, Reg SHO reviews, trade surveillance validation.
• This list of duties and responsibilities is not intended to be all-inclusive and can be expanded to include other duties or responsibilities that management deems necessary.

Job Requirements:

• Bachelor’s degree in Finance, Accounting or other related field, preferred.
• Series 7 and Series 24, preferred.
• Data analysis experience.
• Highly organized with great attention to detail.
• Proven communication, analytical and project management skills.
• Strong relationship management and leadership skills are desired, including experience and ability in dealing with senior management.
• Ability to reach sound judgments and act quickly under tight deadlines.
• Experience in dealing with senior compliance and regulatory staff at the various exchanges and regulatory agencies.
• Must be authorized to work in the US for any employer.
• Participate in industry, regulatory and exchange panels, organizations and committees.

StoneX (formerly known as INTL FCStone) is an institutional-grade financial services network that connects companies, organizations and investors to the global markets ecosystem through a unique blend of digital platforms, end-to-end clearing and execution services, high-touch service and deep expertise.  We provide access to 36 derivatives exchanges, 175 foreign exchange markets, nearly every global securities marketplace and a number of bi-lateral liquidity venues. We deliver this access with support throughout the entire lifecycle of a trade – from consulting and “boots-on-the-ground” intelligence, to best execution, to post-trade clearing, custody and settlement. In these ways, StoneX enables clients to use the global markets ecosystem to achieve their business goals through one trusted partner.  We currently serve more than 30,000 commercial, institutional and payments clients, and more than 125,000 retail clients across more than 130 countries.  Our clients use our institutional-grade digital platforms, our high-touch service, and our market intelligence to pursue trading opportunities, make investments efficiently, manage their market risks, and improve their business performance. Our relentless focus on helping them accomplish these objectives has enabled us to build deeply valued, long-term relationships based on guidance, integrity, transparency and trust.

StoneX Group Inc. is an  Equal Opportunity Employer.  Employment decisions are made without regard to race, color, religion, national or ethnic origin, sex, sexual orientation, gender identity or expression, age, disability, protected veteran status or other characteristics protected by law.