Compliance Analyst, Finance & Banking

Overview

Connecting clients to markets - and talent to opportunity.

With 5,400+ employees and over 80,000 institutional, commercial, and payments clients, we operate from more than 80 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, Stone

X Group is made up of four business segments that offer endless potential for progression and growth.

Responsibilities

The Compliance Analyst will support various ongoing monitoring and surveillance functions to ensure regulatory obligations are met by internal and external business partners. Monitoring will primarily include automated trade practice surveillance. It may also include monitoring position transfers, exchange for related position trades, suspense account use, block trades, and omnibus account trading for potential rule violations. The Compliance Analyst will maintain current knowledge of CFTC regulations, NFA and exchange rules, and internal policies to provide guidance to business lines and to perform thorough monitoring.

Primary duties will include:

* Analyze trading activity for unusual patterns and trends and compliance with CFTC regulations, NFA and exchange rules, and internal policies.

* Participate in the ongoing development and enhancement of the firm's monitoring methodologies and standards. Observe trends and recommend improvements to align monitoring with regulatory best practices.

* Communicate effectively with internal and external business lines to explain potential issues and resolutions.

* Prepare complete and accurate documentation of compliance monitoring activities. Report conclusions and provide timely follow-up on open issues.

* Review trade and account transfer requests for compliance with NFA, CFTC, and exchange rules and internal policies.

* Perform ad hoc investigations. Document and escalate potential compliance issues to management, as necessary.

* Advise business personnel, including brokers, introducing brokers, and internal departments on compliance related inquiries.

* Assist with special projects or other responsibilities as determined by Compliance management.

Qualifications

To land this role you will need:

* 1-2 years of experience in a Compliance or Regulatory department.

* Familiarity with futures markets. Trading experience is a plus, although not required.

* Familiarity with exchange platforms such as Globex, and front-end trading platform such as Trading Technologies.

* Familiarity with financial market rules, regulations, and market structure (e.g., CFTC, NFA, CME, ICE).

* Analytical and detail-oriented with the ability to interpret rules and regulations and practically apply them to monitoring and ongoing operations.

* Able to work on multiple projects and assignments at the same time and prioritize appropriately to meet deadlines.

* Strong written and oral communication skills. Able to succinctly communicate complex concepts in an easy-to-understand manner.

* Build and maintain good working relationships with internal and external contacts.

* Comfortable working in a small-team environment and independently with minimal supervision.

* Bachelor's Degree required. A major in financial area such as Finance, Accounting, Economics, or Business Administration preferred.

* High proficiency with desktop applications and MS Office suite of products, including Excel.

* Strong ability to learn new surveillance technologies and systems.

Working Environment:

* Dynamic, time-sensitive environment.

* Demonstrated ability working with people in connection with challenging issues.

* Ability to work independently.

* Must be authorized to work in the US for any employer.

* Minimum 4 days/week in the office (or as the Firm dictates).

Hiring Salary Range $80,000 - $85,000. 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.