StoneX

Regulatory Operations Associate

Locations US-AL-Birmingham
ID 2025-13815
Category (Portal Searching)
Operations
Position Type (Portal Searching)
New Graduate & Early Talent

Overview

Connecting clients to markets – and talent to opportunity.

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.

Responsibilities

  • Position Purpose:

    Provide support for a specific Operations team by performing work that is primarily routine in nature and specific to that team. Types of work performed may include data entry, including entering, compiling, and validating data, as well as other clerical production activities such as proof, reconciliation and posting. May assist with research and resolving basic problems and perform with a high level of attention to detail and excellent customer service. Works under the close direction of senior personnel in the respective team and expected to possess a moderate understanding of general aspects of the job.

     

    Primary duties will include: 

    • Maintain prompt and regular attendance
    • Maintain an understanding of team expectations and company policies
    • Shared responsibility for team phone and e-mail coverage
    • Provide back-up coverage for various team specific tasks and responsibilities as needed
    • Keep management informed on any unusual requests and potential issues
    • Assist with general questions and inquiries from customers as needed
    • Develop and maintain strong relationships with other departments & lines of business
    • Identify potential new processes or applications that would increase both efficiencies and accuracy within the team to keep pace with the ever-changing environment
    • Accomplish tasks as assigned
    • Meet and occasionally exceed job expectations
    • Reliable in attaining expected results, timely and efficient
    • Requires moderate supervision
    • 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)

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