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. 

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 Broker-Dealer is seeking a Surveillance Data Analyst with experience in the financial and trading industry, strong technical and analytical skills, and a results-driven approach. The role involves collecting, transforming, and analyzing trade and related data to support surveillance, compliance, and audits. As part of the Trade Desk Surveillance (TDS) team, you’ll help identify regulatory risks, increase efficiency, and optimize processes for scalability.

Primary duties will include: 

• Drive innovation in working closely with TDS and cross-functional teams to align priorities, gather requirements, and deliver data-driven solutions that support departmental and Firm-wide goals.
• Collect, analyze, and prepare trade-related data from multiple systems to research exceptions, support reviews, and respond to inquiries or audits.
• Become proficient in surveillance, trading, and reporting systems, as well as other company-supported tools, to analyze workflows and identify opportunities to improve.
• Build an understanding of the Firm’s regulatory requirements to strengthen the TDS program and help cross-functional teams in preparing and reviewing large data sets.
• Develop and maintain scalable, data-driven workflow automations to deliver timely and actionable insights; troubleshoot and optimize to increase accuracy and minimize manual effort.
• Use SQL to create and execute database queries and assist in building new databases.
• Create and maintain clear procedural documentation and a knowledge base of solutions, utilizing Jira to support production development, issue resolution, and business continuity.
• Perform routine testing and reconciliation of regulatory reporting data in conjunction with TDS, Trading, Compliance, and external vendors.
• Train and support interns and team members on data analysis and automated workflows.
• Assist TDS across asset classes and multiple systems by investigating exceptions and escalating issues when necessary
• Apply technical and analytical skills to solve problems and execute ad hoc tasks.
• Duties and responsibilities may be expanded or adjusted as needed to meet management directives and organizational requirements.
• 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. 

To land this role you will need:

• 1-3 years demonstrated proficiency in Excel, SQL, Python (or similar programming language), including experience with data processing, visualization, and analysis to support decision making.
• Understanding of server-based systems and JSON/CSV data structures.
• Skilled in executing queries to extract and analyze from large, complex datasets.
• Proficient in Microsoft suite including SQL Server, Excel, Power BI, Teams, Outlook.
• Self-starter with ownership mentality, creativity, and strong troubleshooting skills to resolve complex/nuanced issues and deliver results.
• Detail-oriented with strong organizational and time management skills; adaptable to change and capable of managing multiple priorities.
• Excellent communication skills, with ability to address both technical and non-technical audiences.

Education / Certification Requirements:

• Bachelor's degree and/or equivalent experience in finance, computer science, or related fields.
• SIE exam, or willingness to take the exam within the first 6 months of employment.

What makes you stand out: 

• Knowledge of financial markets, trading, surveillance, compliance, or FINRA/SEC regulation.
• Understanding of FINRA CAT and other trading related data (FIX, TRACE, RTRS, TRF/ORF).
• Experience with trading-related systems (S3, OneTick, Fidessa, TRAFiX, FIS, etc.)
• Experience with scripting or automation tools like VBA, Visual Studio Code, Jupyter-Notebook, JAMS, PowerShell, UiPath, or Git.
• Experience with project development apps like Confluence & Jira.
• Knowledge of managed secure file transfer (SFTP) processes.
• Familiarity with AI/LLM applications for analysis and automation.

Hiring Salary Range $70,000 - $90,000 (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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