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Senior Compliance Executive: Broker-Dealer & RIA Oversight
Job in
Birmingham, Jefferson County, Alabama, 35275, USA
Listed on 2026-08-06
Listing for:
StoneX Group
Full Time
position Listed on 2026-08-06
Job specializations:
-
Finance & Banking
Regulatory Compliance Specialist
Job Description & How to Apply Below
StoneX Group is seeking a Deputy Chief Compliance Officer in Birmingham, AL to lead compliance programs for broker‑dealer and investment advisory operations. The role focuses on policy design, regulatory filings, and risk management.
The ideal candidate will have 5+ years in financial services compliance, FINRA licenses, and strong Excel skills, with the ability to manage multiple priorities in a regulated environment.
#J-18808-LjbffrPosition Requirements
10+ Years
work experience
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