OVERVIEW

With 4,500+ employees and over 300,000 commercial, institutional, payments, and retail clients, we operate from more than 70 offices spread across six continents. As a Fortune 100, Nasdaq-listed provider, we connect 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, StoneX Group is made up of four business segments that offer endless potential for progression and growth. 

Position Purpose: Oversee and manage regulatory exams, inquiries and third-party reviews for Stone Group Inc. registered investment advisers and broker dealer affiliates.

Purpose of Job: 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, or as a regulator 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.

Job Requirements:

• 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

 Permanent, full-time, #LI-SD1