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.

Position Purpose: The Associate is responsible for daily work that is primarily routine in nature and normally covers a specific sub-set of duties within a team. The expectations of the Associate are that he/she performs their duties with a high level of attention to detail, diligence, and excellent customer service. Additionally, the Associate is expected to cross train within the various other areas of their team to assist and help back-up those areas when needed.

Responsibilities:

• Monitor and communicate trade reporting exceptions for various reporting requirements including, but not limited to, the following: 
• CAT
• TRACE
• MSRB
• LOPR
• Blue Sheets
• CAIS
• Identify, notify and action the firm’s Reg SHO items

• Process various non-trade related reporting requirements including, but not limited to, KYC Refresh
• Maintain an understanding of team expectations and company policiesShared responsibility for team phone and e-mail coverage
• 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.

Qualifications

Required:

• Effective communication skills – oral and written, with an emphasis on customer service
• Strong critical thinking and analytical skills with high attention to detail
• Adaptable to change in a highly regulated industry
• Proficiency in Microsoft Office 365 applications
• Ability to take direction, work independently and within a team environment

Preferred: 

• Basic experience with database query building and/or SQL experience 

Education:

• Bachelor’s degree in business, finance or related field or equivalent work experience
• SIE (Securities Industry Essentials) or ability to obtain within 2 months of employment (or already FINRA licensed)

Working Environment: 

• Onsite full time