Compliance Director

Overview

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, Nasdaq-listed provider, connecting clients to the global markets – focusing on innovation, human connection, and providing world-class products and services to all types of investors.

Whether you want to forge a career connecting our retail clients to potential trading opportunities, or ingrain yourself in the world of institutional investing.

The StoneX Group is made up of four segments that offer endless potential for progression and growth.

Business Segment Overview -

Institutional: Immerse yourself in the best-in-class institutional-grade technology, working alongside industry experts and gaining exposure to various asset classes, such as equities, options, fixed income securities, and advanced trading, research, and management technology.

Retail: Empower individual investors – and yourself – in the world of retail through a range of different financial products rooted in innovation and market intelligence. From FX and CFDs to precious metals, master an exciting world of wealth management tools.

Commercial: With boots on the ground authenticity at the heart of everything we do, our comprehensive array of commercial products and services enable you to work directly with our clients, across hedging, risk management, execution and clearing, OTC products, commodity finance and more.

Payments: A Swift-accredited service bureau and member, our Payments division provides NGOs, institutions and non-profits the ability to make a local difference, globally – with transparent pricing across 180 countries and 140 currencies.

Corporate: Engage in a deep variety of business-critical activities that keep our company running efficiently. From strategic marketing and financial management to human resources and operational oversight, you’ll have the opportunity to optimize processes and implement game-changing policies.

Responsibilities

Position Purpose:

Responsible for managing and overseeing compliance team responsible for but not limited to corporate compliance functions including, branch inspections, employee onboarding, licensing, registrations, employee trading, quarterly and annual attestations, firm element training, annual compliance meetings, and marketing collateral review. This role will be a key individual on the senior management team supporting the firm’s wealth management and institutional business lines.

Primary Accountabilities/Responsibilities:

• Oversees and manages day-to-day corporate compliance operations supporting multiple affiliated entities.
• Monitors business activities to ensure the firm remains in compliance with its policies and procedures as well as industry regulations.
• Administers compliance technologies systems for corporate compliance functions. Implement efficiencies and automation. Ensure systems are maintained to reflect accurate supervisory systems and employee data.
• Conducts surveillance and oversight of employee disclosures.
• Facilitates new hire background checks and fingerprinting; reviews and approves new and amended U4s.
• Oversees registrations process for multiple firms to include licensing and firm required disclosures (Form U4, U4, BR, BD)
• Oversee and facilitate the firm element training program, quarterly attestations, compliance newsletter and educational collateral. Review and revise firm policies and procedures as necessary.
• Participate in specific compliance related projects and serve as senior-level team member
• Escalate matters to entity CCO’s when needed.
• Collaborate with foreign affiliates to onboard employees to US broker dealer entities where necessary
• Identify areas of automation and efficiencies, implements new technologies and enhance workflows
• Manage and cross train staff, ensure development plans are in place with employee goals and objectives
• Research and report new rules and regulations and how they affect the business activities of the firm to ensure Compliance.
  
  
  

Qualifications

To land this role you will need:

• Bachelor’s degree in management, finance, or a related field with 7-10 years of compliance related experience
• Previous management and supervisory experience; ability to manage employees in other office locations
• Strong collaboration skills
• FINRA Series 7 and 24 required
• Strong analytical and problem-solving skills
• Strong senior-level, decision maker
• Excellent written and verbal communication skills
• Strong research/investigative skills
• Proficient in MS Office products with focus on Excel
• Ability to develop position and productive relationships with staff as well as business line partners
• Ability to effectively prioritize and multi-task in a fast-paced environment
• Broad knowledge of broker-dealer operating practices and more specifically rules and practices relative to areas of responsibility
• Ability to lead by example in professional and ethical manner
• Ability to travel to conferences and other StoneX offices
  
  
  

Class: Full-time, Exempt

Physical requirements/Working conditions:

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

Permanent, full-time,