Compliance Business Analyst

Overview

The Company

Innovative, future-focused and collaborative, StoneX Group Inc. (NASDAQ: SNEX) is a global financial services firm with an entrepreneurial culture and a passion for providing world-class services to our clients. A Fortune-100 company with a nearly 100-year track record, with 3,300 employees and over 400,00 retail and institutional clients from more than 40 offices spread across five continents, we connect clients to the global markets – focusing on innovation, human connection, and providing world-class products and services to all types of investors.

Today's global financial markets offer a world of opportunities. To trade. To invest. To manage risk . And to grow. We believe in connecting every company, every organization, every trader, and every investor to every advantage they need to succeed in today’s global markets ecosystem.

But that belief doesn’t stop at our clients. We also believe in connecting every single one of our employees to every opportunity they need to succeed in their own careers, too. From an entrepreneurial culture to a collaborative environment working alongside highly skilled specialists, a career at StoneX also offers a world of opportunities. To invest in yourself. To achieve . And to grow.

We Connect Clients to Markets .

StoneX Graduate Program

Are you looking to gain real world experience in an entrepreneurial culture? Consider joining a thriving global financial services firm and launch your career with StoneX ! Our Graduate Program connects recent graduates with the opportunit ies that match their skill level within StoneX and provides additional new employee training tailored to individuals beginning their career .

StoneX New Grad Perks:

In addition to the real-world experience, you’ll gain at StoneX , we’re excited to offer interns several perks which include the following:

• Compensation : All New Grads are paid at a competitive rate .
• Hybrid Model : StoneX works on a hybrid model with the flexibility to work from home and in one of our fully equipped offices around the globe. In office days are made better with free snacks and drinks.
• Socials : Networking and acclimation to the company , office, and city are important aspects of the graduate program.
• Access to Senior Leaders: Senior leaders are involved in the graduate program delivering trainings , presenting on firm business, and even attending socials .
• Training: Virtual and in-person trainings to l earn about the firm and how we do business . As well as getting new grads onboarded and connect ed with the company globally.

Responsibilities

Position Purpose:    Responsible for supporting compliance routines and initiatives as it relates to the Broker-Dealer business .  Provides day-to-day compliance support, responding to questions and clarifying policy.  Processes and performs certain specific compliance review functions on a daily/weekly/monthly basis as assigned by management. 

Primary Accountabilities/Responsibilities:

• Monitors employee activities to ensure the firm remains in compliance with its policies and procedures as well as industry regulations.
• Participates in the development and maintenance of comprehensive Written Supervisory Procedures relative to all aspects of compliance matters.
• Assist with monitor employee trading and reporting. Administers compliance system for Gifts, Employee Brokerage Accounts , Electronic feeds, Attestations, etc.
• Coordinates and participates in specific compliance related projects and their daily activities as assigned from time to time.
• Monthly oversight of Employee Trading Accounts; monthly statements reviews; and daily trading exceptions.
• Surveillance and oversight of employee disclosures.
• Review s and analyze s compliance monitoring reports and other related source documents .
• Assist compliance team with projects as needed.
• Assist in obtaining information for system updates / enhancements as needed .
• Develop positive relationships with business line partners.
• Assists in the creation and distribution of Employee and Supervisory Training Sessions.
• Researches, and reports new rules and regulations and how they affect the business activities of the firm to ensure Compliance.

Qualifications

Job Requirements:

• Bachelor’s degree or equivalent financial industry experience
• Ability to work independently
• Strong analytical and problem-solving skills
• Excellent written and verbal communication skills
• Strong research/investigative skills
• Proficient in MS Office products with focus on Excel
• Able to develop positive and productive relationships with business line partners (sales, support and management)
• Ability to effectively prioritize and multi-task in a fast-paced environment
• FINRA Series 7, 24 and 63 or 66 and other licenses as may be required according to specific position responsibilities

Physical requirements/Working conditions:

• Climate controlled office environment
• Minimal physical requirements other than occasional light lifting of boxed materials
• Dynamic, time-sensitive environment

Hiring Salary Range

$65,000 - $75,000 (Salary to be determined by the education, experience, knowledge, skills and abilities of the applicant, internal equity and alignment with market data.) Subject to business performance and recommendations of management, this role may be eligible to participate in an incentive compensation plan. This compensation package, in addition to a full range of medical, financial, and/or other benefits, dependent on the position, is offered.