Compliance Associate

Job description

Position Purpose: This entry level position in the compliance team supporting the FCM Division of StoneX Financial Inc. will be tasked with learning various aspects of the compliance team review process with an emphasis on processes related to the supervision and support of the Firm's branch offices and Introducing Broker relationships.

Primary Accountabilities/Responsibilities:

* Participate in the on-site audit program for StoneX Financial Inc. - FCM Division ("SFI") branch offices and Guaranteed Introducing Brokers ("GIBs") of SFI including performing a portion of the on-site audits.
* Assist in the review of prospective Introducing Broker relationship and the maintenance of existing Introducing Broker relationships
* Coordinate with the SFI compliance team Anti-Money Laundering (AML) team to administer the annual anti-money laundering compliance audit of SFI GIBs.
* Assist in the review of promotional material from SFI and SFI's GIBs
* Assist in the review of discretionary trading activity
* Assist in monitoring regulatory position limits
* Assist in the review of Trading While Under Margined scenarios in conjunction with the risk team Lead
* Participates in the completion of the annual compliance audit by the firm's designated self-regulatory organization.
* Collaborates with other departments (e.g., Risk Management, Internal Audit, Human Resources, etc.) to direct compliance issues to appropriate existing channels for investigation and resolution. Consults with Corporate Counsel as needed to resolve legal compliance issues.
* Coordinates the maintenance and filing of required policies, procedures, and records related to FCStone and its IB's.
* Maintains prompt and regular attendance.
* This list of responsibilities may not be all-inclusive and can be expanded to include other duties or responsibilities as needed.

Job Requirements:

* Bachelor's degree in Finance or Business or equivalent years experience in finance, compliance, or auditing preferred
* Familiarity with commodity derivatives preferred
* Demonstrated ability working with people in connection with challenging issues.
* Strong organization skills along with attention to detail.
* Demonstrated proficiency using Microsoft Office.
* Ability to manage multiple tasks and adapt to changing priorities in a fast paced environment.
* Ability to effectively present information and respond to questions from groups of managers, customers and the general public.
* Skilled in researching, interpreting, and disseminating information on compliance regulations and laws.
* Ability to work independently.
* Effective written and oral communication skills.
* Must be available for travel - up to 25% of the time will be spent performing on-site audits.
* Must be authorized to work in the US for any employer.

Physical requirements/Working conditions:

* Climate controlled office environment
* Minimal physical requirements other than occasional light lifting of boxed materials
* Dynamic, time-sensitive environment