Compliance Analyst - Surveillance

Connecting clients to markets – and talent to opportunity

With more than 4,500 employees and 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.

Whether you want to forge a career connecting our retail clients to potential trading opportunities, or ingrain yourself in the world of institutional investing, The StoneX Group is made up of four segments that offer endless potential for progression and growth.

We engage in a deep variety of business-critical activities that keep our company running efficiently. From strategic marketing and financial management to human resources and operational oversight, you’ll have the opportunity to optimize processes and implement game-changing policies.

Position Purpose:

An opportunity to work in a dynamic compliance function focusing on trading surveillance. The role helps to manage the Firm’s compliance with regulatory and exchange requirements by reviewing alerts for potential breaches, and following up to ensure resolution. This is a new role created due to growth in the business franchise.

Primary duties will include

• Monitoring and reviewing daily trade and market surveillance alerts generated by customers and internal traders. Use investigative skills to review for patterns, potential issues, and other disruptive trading practices that would constitute violations of regulations. Collaborate within Compliance to resolve issues.
• Work with vendors to develop the program, including outlining requirements, testing & development.
• Provide guidance, education, and training to brokers as it relates to exchange requirements including EFRP, blocks, cross trades, etc.
• Participate in continuing education to stay up to date on continuing regulatory developments and skills.
• Review and help respond to inquiries from exchanges and regulators relating to trading surveillance.
• Identify potential areas of compliance vulnerability and risk; develops and/or implements corrective action plans for resolution of problematic issues and provides general guidance on how to avoid or deal with similar situations in the future.
• Assist the Swap Dealer and FCM Division’s compliance with market and trade supervision requirements of various regulatory bodies (NFA, CFTC, CME, ICE, etc.).

To land this role you will need:

• Minimum 2+ years compliance experience preferably in commodities.
• Must be familiar with futures, options, and/or commodity swaps under the jurisdiction of the CFTC
• Demonstrated ability working with people in connection with challenging issues.
• Strong organization skills along with attention to detail.
• Demonstrated proficiency using Microsoft Office. Experience with data science methodologies preferred.
• Ability to manage multiple tasks and adapt to changing priorities in a fast-paced environment.
• Skilled in researching, interpreting and disseminating information on compliance regulations and laws.
• Ability to work independently.
• Must be authorized to work in the US for any employer.

What makes you stand out:  

• Self-starting and inquisitive individual. Should always be looking for efficiencies to improve the program.
• Ability to work with a variety of stakeholders at various levels of seniority/experience, including colleagues overseas.
• Effective written and oral communication skills – will be required to write reports and other documents in English in a clear and professional manner.

Education / Certification Requirements: 

• Bachelor’s degree in Finance, Business or other relevant subject, or equivalent years’ experience in finance or compliance preferred
• Other industry qualifications will be considered (the role may require you to sit professional exams to develop skills if these have not already been attained).

Working environment:

• Minimum 3 days/week in the office (or as the Firm dictates)
• Standard working day.