Senior Compliance Officer-Retail
StoneX Group Inc.Birmingham, AL - Winter Park, FLa month ago
This Senior Compliance Officer position will report directly to the Chief Compliance Officer of Retail. The successful candidate will support the affiliated retail business lines of StoneX Group Inc. They will possess strong communication skills, superior writing skills and the ability to manage multiple tasks in a dynamic environment.
- Demonstrates breadth of knowledge and experience in Broker Dealer and Investment Advisory Compliance through the offering of comprehensive answers, solutions, reports, presentations or otherwise
- Assist CCO in overseeing RegBI compliance efforts, including development of training material and surveillance programs. Review and update FORM CRS in coordination with Legal.
- Able to analyze impact of new rules and regulations on policies, operating systems, and reporting procedures
- Assigned to and capable of handling more complex or highly technical Broker Dealer and Investment Advisory compliance functions on a routine basis with limited supervision required
- Adds value through identifying compliance concerns, opportunities for enhanced efficiency or service improvement and formulates comprehensive solutions to address such matters
- Able to take limited direction relative to assigned duties and devise appropriate solutions to achieve department and/or firm objectives
- Regularly exercises initiative and independent judgment based upon sound reasoning
- Monitors retail business 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 retail compliance matters.
- Assists in the supervisory control testing process.
- Manage branch examinations for both StoneX Financial Inc and SA Stone Wealth Management inc.
- Manage compliance surveillance and monitoring reports and other related source documents as assigned for suspicious/unusual or red flag patterns of activity. Follow up with responsible area(s) for explanations and discussions for appropriate action
- Approval of options accounts
- Provide guidance, education and training to retail business lines, firm employees, and representatives on current and changing industry rules, regulations, compliance matters, firm policies and best practices.
- Develop positive relationships with business line partners.Participate in specific compliance related projects as may be assigned from time to time.
- Participate in other firm projects as may be assigned.
- Maintain prompt and regular attendance
- 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
- Bachelor’s degree or equivalent financial industry experience
- Strong analytical, investigative, and problem-solving skills
- Excellent written and verbal communication 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 4, 7, 9 & 10 or 24 and 63 or 66 and other licenses as may be required according to specific position responsibilities
- Broad knowledge of an independent broker-dealer operating practices and more specifically rules and practices relative to areas of responsibility
- Able to lead by example in professional and ethical manner
- Must be authorized to work in the US for any employer
Physical requirements/Working conditions:
- Dynamic, time-sensitive environment
- Regular fixed schedule, with occasional, but rare, afterhours and weekend work opportunities
- Climate controlled office environment
- Minimal physical requirements other than occasional light lifting of boxed materials