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:

Oversee and manages regulatory exams, inquiries and third-party reviews for Stone Group Inc. registered investment adviser and broker dealer affiliates.

Handles regulatory examinations and other engagements administered by state and federal regulatory entities including SEC, FINRA, OCC, DTCC and State Securities Regulators. Responsibilities include serving as a liaison between regulators and Firm Management/ Business Areas while ensuring timely and accurate fulfillment of regulatory requests.  The successful candidate will possess seven or more years’ experience at a broker-dealer, registered investment, regulator or law firm responding to inquiries and performing regulatory affairs functions.  

Primary Accountabilities/Responsibilities:

• Coordinate regulatory examinations and inquiries for the institutional and retail broker dealer and registered investment adviser affiliates
• Assist and facilitate complex examinations over extended periods of time which require exceptional organization skills and ability to examine complex data.
• Collaborate with relevant businesses and functions to obtain information/documentation responsive to regulatory requests.
• Accurately review and interpret regulatory requests and develop responses.
• Synthesize regulatory feedback and key findings in key management reports provided to senior management, work with key stakeholders on proper resolution of issues.
• Advise management and staff on responses to regulators; escalate to manager regarding matters that can negatively impact the relationship with regulators.
• Work closely with management to develop and distribute consolidated reporting of regulatory matters and examinations to key stakeholders.
• Communicate with business partners in Equity/Fixed Income Trading, Operations, Clearing, Finance, Risk and Legal throughout regulatory inquiry and exam process to manage expectations and outcomes.
• Monitor regulatory developments that impact entities.
• Involvement in other compliance projects and initiatives that support business enhancements and growth.

To land this role you will need:

• 7+ years of experience
• BA/BS or a similar degree required; MBA/JD preferred
• Series 7 and 24 licenses.
• Extensive experience involved with regulatory examinations/ information requests and collaborating with regulators.
• Equity and Fixed Income Capital markets background a plus
• Thrives in a fast-paced, deadline-driven environment including excellent time management, multi-tasking skills
• Strong analytical skills, attention to detail, solid judgement and the ability to evaluate complex regulatory issues.
• Ability to reach sound judgments and act quickly under tight deadlines
• Excellent interpersonal, organizational and communication (oral and written) skills
• Can manage multiple workstreams involving different partners and groups
• Interact effectively with all levels of the organization
• Proficient in Word, Excel and PowerPoint
• Some travel required

Hiring Salary Range $175-$200K. 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. 

Permanent, full-time,  #LI-SD1