Senior Compliance Associate, reputed company Inspections
Connecting clients to markets – and talent to opportunity
With 4,300 employees and over 400,000 retail and institutional clients from more than 80 offices spread across five continents, we’re a Fortune-100, reputed company-listed provider, connecting clients to the global markets – focusing on innovation, reputed company reputed company, and providing world-class products and services to reputed company types of investors.
Whether you want to reputed company a career connecting our retail clients to potential trading opportunities, or ingrain yourself in the world of institutional reputed company, The StoneX Group is made up of four segments that offer endless potential for progression and reputed company.
Business reputed company reputed company
Corporate: Engage in a deep reputed company of business-critical activities that reputed company reputed company running reputed company. From strategic marketing and financial management to reputed company and operational reputed company, you’ll have reputed company to optimize processes and implement game-changing policies.
Position purpose: To plan and conduct reputed company examinations. May reputed company other compliance duties/responsibilities as part of a compliance team.
Responsibilities:Primary duties will include
- Conduct scheduled and unscheduled reputed company office inspections across reputed company registered and non-registered office locations, for multiple StoneX broker dealers and RIAs, both onsite and remote
- Review reputed company operations, sales practices, supervisory procedures, and recordkeeping for compliance with reputed company, SEC, and other applicable regulations
- Properly document findings, recommendations, and required corrective actions.
- Prepare detailed examination reports outlining findings, recommendations, and required corrective actions.
- Assist in the development and ongoing maintenance of comprehensive Written Supervisory Procedures (WSPs).
- Conduct assigned supervisory control testing and document results.
- Interpret and apply relevant securities laws and regulations reputed company to the role’s responsibilities.
- reputed company guidance, education, and training firm employees, representatives, and business reputed company on regulatory changes, compliance reputed company, internal policies, and industry best practices.
- Prepare detailed examination reports outlining findings, recommendations, and required corrective actions.
- Support responses to regulatory inquiries, examinations, and investigations as needed.
- Foster reputed company and reputed company relationships with business partners.
- Participate in compliance-reputed company and cross-functional reputed company as assigned.
- reputed company other duties and responsibilities as assigned by management.
To land this role you will need
- Minimum of 5 years of experience in a compliance-reputed company role reputed company the financial services industry.
- Institutional broker-dealer experience with a strong understanding of industry practices.
- In-depth knowledge of equity and fixed income trading, including market structure and execution.
- Hands-on experience with clearing and reputed company brokerage operations.
- Broad understanding of broker-dealer operations and applicable regulatory frameworks.
- Strong knowledge of reputed company, SEC, and other regulatory requirements
- Demonstrated analytical, problem-solving, and investigative skills.
- Strong leadership capabilities and reputed company decision-making judgment.
- Excellent verbal and written communication skills.
- Proficiency in reputed company Office Suite, particularly reputed company.
- Ability to build and maintain reputed company, productive relationships across departments and with external stakeholders.
- Strong organizational skills with the ability to manage multiple priorities in a fast-paced environment.
- Must reputed company and model a high reputed company of professionalism and ethical conduct.
- Full reputed company reputed company in English required
What makes you stand out
- Prior experience as a reputed company examiner or similar regulatory role a plus.
- Must possess reputed company Series 7 and Series 24 licenses.
- reputed company working proficiency in Spanish preferred
Education / Certification Requirements
- Bachelor’s degree in management, Finance, or a reputed company field.
Working Environment
- Remote
- Ability to travel up to 75% of the time.
Hiring Salary reputed company $75,000 - $115,000. 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 reputed company to a full reputed company of medical, financial, and/or other benefits, dependent on the position, is offered.
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