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: 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.

The role can be based in Winter Park, Miami, Boca Raton, FL or Birmingham, AL

Position Purpose: Responsible for overseeing the branch examination team, including the development and maintenance of inspection schedules, employee and representative training, and the creation of a branch risk-rating system. This role also involves the implementation and management of compliance-related technology platforms, while supporting key compliance initiatives across affiliated broker-dealers and SA Stone Investment Advisors, Inc. The individual will act as a strategic leader and key decision-maker within the compliance function. Knowledge of both retail and institutional broker dealer activities is a plus.

Primary duties will include: 

•  Lead and manage the Branch Examination team.
• Conduct branch office inspections across all registered and non-registered office locations.
• Plan, prepare, and execute comprehensive branch examinations, including onsite visits.
• Oversee the branch examination closeout process and ensure timely and effective remediation efforts.
• Monitor business practices through the examination program to ensure compliance with internal policies, procedures, and regulatory requirements.
• Assist in the development and ongoing maintenance of comprehensive Written Supervisory Procedures (WSPs).
• Conduct assigned supervisory control testing and document results.
• Interpret and apply relevant securities laws and regulations related to the role’s responsibilities.
• Provide guidance, education, and training to firm employees, representatives, and business units on regulatory changes, compliance matters, internal policies, and industry best practices.
• Support responses to regulatory inquiries, examinations, and investigations as needed.
• Foster collaborative and professional relationships with business partners.
• Participate in compliance-related and cross-functional projects as assigned.
• Perform other duties and responsibilities as assigned by management.

Job Requirements:

• Minimum of 10 years of experience in a compliance-related role within the financial services industry.
• Ability to manage a remote team of personnel.
• Ability to travel up to 75% of the time.
• Demonstrated analytical, problem-solving, and investigative skills.
• Strong leadership capabilities and sound decision-making judgment.
• Excellent verbal and written communication skills.
• Proficiency in Microsoft Office Suite, particularly Excel.
• Ability to build and maintain positive, productive relationships across departments and with external stakeholders.
• Strong organizational skills with the ability to manage multiple priorities in a fast-paced environment.
• Broad understanding of broker-dealer operations and applicable regulatory frameworks.
• Must uphold and model a high standard of professionalism and ethical conduct.

Education / Certification Requirements: 

• Bachelor’s degree in Management, Finance, or a related field.
• Must possess FINRA Series 7 and Series 24 licenses.

Working environment:

• Ability to travel up to 75% of the time.

Hiring Salary Range $120,000-$150,000 (Salary to be determined by the education, experience, knowledge, skills and abilities of the applicant, internal equity and alignment with market data.)   Subject to business performance and recommendations of management, this role may be eligible to participate in an incentive compensation plan.  This compensation package, in addition to a full range of medical, financial, and/or other benefits, dependent on the position, is offered.

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