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.

At StoneX, we offer you the opportunity to be part of an institutional-grade financial services network that connects companies, organizations, and investors to the global markets ecosystem. As a team member, you'll benefit from our unique blend of digital platforms, comprehensive clearing and execution services, personalized high-touch support, and deep industry expertise. Elevate your career with us and make a significant impact in the world of global finance.

Business Segment Overview

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.

Job Purpose and Responsibilities

Position Purpose: The Broker-Dealer Regulatory Reporter is responsible for compiling, analyzing, and submitting accurate regulatory reports to relevant agencies, including the SEC, FINRA and CME, ensuring the brokerage firm adheres to all securities trading regulations.

Primary Responsibilities will include:

• Data Collection and Analysis: Gather trade data from internal systems, analyze trading activity to identify potential compliance concerns related to market manipulation, insider trading, best execution, and other regulatory requirements. 
• Report Generation: Prepare and submit various regulatory reports including daily, weekly, and monthly reports such as CFTC FORM 1-FR, FINRA FOCUS, and other required filings based on specific regulatory guidelines. 
• Compliance Monitoring: Monitor trading activity for potential violations of regulatory rules and internal policies, escalating issues to compliance officers when necessary. 
• Regulatory Updates: Stay informed about changes in securities regulations and industry best practices, updating reporting procedures accordingly. 
• Data Validation: Perform quality checks on data accuracy to ensure the integrity of regulatory reports. 
• Collaboration: Work with various departments including accounting, trading, compliance, operations, and legal to gather information and address regulatory concerns. 
• Audit Support: Assist internal and external auditors with regulatory reporting related inquiries. 

Qualifications:

Required: 

• 1-3 years of accounting or broker-dealer operations experience
• General understanding of securities markets, trading mechanisms, and relevant financial instruments. 
• General knowledge of SEC, FINRA, and other applicable securities regulations. 
• Proficiency in data manipulation, analysis, and reporting tools to extract and interpret complex data sets. 
• Ability to meticulously review data and reports for accuracy and completeness. 
• Excellent written and verbal communication skills to effectively convey complex regulatory issues. 

Education and Certification Requirements: 

• Bacehlor's Degree in Accounting or Finance required 
• FINRA Series 99, required to complete within 60 days of employment

Working Environment:

• Onsite full time

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