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.

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.

Business Segment Overview 

Institutional: 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.

Retail: Empower individual investors – and yourself – in the world of retail through a range of different financial products rooted in innovation and market intelligence. From FX and CFDs to precious metals, master an exciting world of wealth management tools.

Commercial: With boots on the ground authenticity at the heart of everything we do, our comprehensive array of commercial products and services enable you to work directly with our clients, across hedging, risk management, execution and clearing, OTC products, commodity finance and more.

Payments: A Swift-accredited service bureau and member, our Payments division provides NGOs, institutions and non-profits the ability to make a local difference, globally – with transparent pricing across 180+ countries and 140+ currencies.

Corporate: 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.

Job purpose

To support the continuing development of this highly successful business. Reports directly to the Deputy Head of Wholesale Compliance. Has extensive technical knowledge of applicable rules and regulations as they apply to the covered business. Capable of interacting with senior management. Provides day-to-day regulatory advice on application and implementation of rules. The individual will play a key role in the Compliance function, monitoring regulatory developments and advising the business on Compliance matters.

General Duties

• Monitoring key regulatory developments/horizon scanning
• Offering advice and guidance to other business units as required
• Implementation of new regulations and other projects
• Analysis and interpretation of relevant laws and regulations, including identifying changes to these that could affect the business 
• Implementation of suitable compliance controls to new business initiatives and new products
• Continually monitor and enhance existing compliance controls
• Perform “deep dive” ad hoc monitoring tasks as outlined within the Firm’s Compliance Monitoring Programme (“CMP”)
• Review and approve financial promotions, where applicable
• Provide training to the business, as required
• Investigation and resolution of ad hoc queries from regulators, exchanges and other areas of the business
• Ensure that the Firm’s compliance policies and procedures remain up to date

Knowledge and Experience

• At least five years’ relevant experience
• Strong knowledge of applicable regulations e.g. MiFID II, CASS
• Strong Working knowledge of FCA handbook
• Good knowledge of products and markets that StoneX Financial Ltd. is active in:

- Wholesale Products - Agricultural, Dairy, Energy, Metals (Base and Precious) and FX

- Exchanges – ICE, LME, Eurex and Euronext

Qualifications

Essential:

• Fluency in business English

Preferred:

• University degree/Professional Compliance Qualification

Skills

• Effective planning, organisation and time management skills
• Ability to work accurately, thoroughly, reliably and with strong attention to detail
• Strong analytical and communication skills (written and oral)
• Commercial awareness
• Team player
• Ability to work independently and prioritise multiple tasks
• Good relationship building and communications skills (written and oral)
• Computer competency, including Microsoft Outlook/Word/Excel

Permanent, full-time, #LI-SD1