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.

Job purpose:

Actively searching for a Trade Desk Surveillance team member to assist with the firm’s adherence to regulatory, trade surveillance and reporting requirements. Responsible for detecting activity and/or problematic behaviors that may compromise regulatory rules or the firm’s internal policies and procedures.

Primary responsibilities:

• Review and resolve exception alerts related to trading, trade reporting, and order handling generated by the firm, order management systems, trade reporting systems, surveillance systems and clearing firms at various cadences.
• Perform trade surveillance investigations for cases of potential market manipulation and low-priced securities violations, escalating to Compliance, Anti-Money Laundering, and Management as necessary.
• Review and analyze CAT (Consolidated Audit Trail) and other trade data (MSRB RTRS, TRACE, FIX, etc.) to help identify or resolve errors, late reporting and inconsistencies for prompt resolution.
• Perform daily Best Execution, PMP, markup/down reviews for various asset classes using tools and procedures based on the firm’s policies.
• Processes daily Principal Blotter reviews for various desks (EQ, OPT, HY, CONV, DD, EM, Muni, etc.).
• Collaborate with team members to test, calibrate or create new trade surveillance controls with external vendors and internally.
• Regular review of procedures and systems to further automate processes and improve team efficiency 
• Participate in or conduct mandated (i.e. SIFMA BC/DR) and other systems controls testing.
• Monitor, analyze and communicate updates and changes that may affect the department and/or firm.
• Participate in cross-functional, ad hoc projects and sampling reviews related to trade surveillance process and program enhancement.
• Add information to standard operating procedures, spreadsheets, network folders, and SharePoint for memorialization.
• Assist in training Interns on Trading Desk Surveillance tasks.
• 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.

To land this role you will need:

Bachelor’s degree and/or equivalent work experience in the financial industry.

• Series 7 and SIE exams, or willingness to take the exams within the first 6 months of employment.
• Must be a self-starter with strong work ethic and ability to learn quickly.
• Maintain prompt and regular attendance.
• Excellent written and verbal communication skills.
• Strong time management with the ability to take initiative in meeting deadlines and be flexible and adaptive.
• Excellent organizational skills, strong attention to detail and ability to prioritize multiple
• Proficient knowledge of Microsoft Office, including Excel and Power BI.
• Financial industry experience, especially in the Trading Surveillance, Trade Support, Compliance or Risk Management, is a plus.
• Regulatory rule knowledge or experience with Fidessa and trade surveillance software are a plus.
• Knowledge of programming and query languages is a big plus.
• Must be authorized to work in the US for any employer.

Permanent, full-time,  #LI-SD1