Associate, FCM IB & Compliance

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

Business Segment Overview

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.

Position

Purpose:

The Compliance Analyst II supports the firm’s employee and Introducing Broker (IB) compliance programs by administering applicable regulatory and internal compliance requirements. This role is responsible for ensuring accurate registration, recordkeeping, oversight, and ongoing monitoring in accordance with rules and requirements issued by regulatory bodies including the CFTC, NFA, and various exchanges, as well as firm policies and procedures. The Compliance Analyst II serves as a key point of contact for employees and Introducing Brokers, provides day‑to‑day compliance guidance, supports audits and examinations, and assists with investigative monitoring, testing, control‑enhancement activities to maintain a strong and effective compliance framework.

Primary duties will include:

• Administer employee and Introducing Broker (IB) compliance programs in accordance with applicable regulatory requirements and internal policies.
• Ensure proper, accurate, and timely registration of employees and Introducing Brokers with the NFA, including ongoing updates, amendments, and renewals.
• Review, document, and manage IB audits, including follow‑up on findings and coordination with internal stakeholders to address deficiencies.
• Support the IB onboarding process by tracking new IB account openings, ensuring proper registration and executed agreements, and coordinating information flow across applicable Compliance functions.
• Manage routine compliance training programs by administering module rollouts, tracking completion metrics, maintaining required documentation, and supporting enforcement of training obligations.
• Review, approve, and maintain promotional and marketing materials to ensure compliance with regulatory requirements and firm guidelines.
• Oversee brokers’ personal trading accounts by reviewing activity, maintaining required documentation, and ensuring compliance with regulatory rules and firm policies.
• Serve as a primary point of contact for employees and Introducing Brokers.
• Support ongoing monitoring, testing, and enhancement of compliance controls related to employee and IB activities.
• Assist with regulatory examinations, audits, and ad hoc projects assigned.

To land this role you will need:

• Bachelor's Degree required. A major in Finance, Business, Legal Studies, or a related field preferred.
• 3–5 years of experience in a compliance, regulatory, or supervisory role within a financial services environment, preferably involving employee compliance and/or Introducing Broker (IB) oversight.
• Working knowledge of and proven ability to interpret market rules and regulatory requirements issued by the CFTC, NFA, and various exchanges.
• Hands‑on experience with NFA registration and promotional material review processes preferred.
• Experience administering or supporting employee compliance programs, including personal trading account monitoring, training requirements, and policy adherence.
• Strong attention to detail with demonstrated ability to maintain accurate records, perform quality checks, and ensure regulatory readiness.
• Experience supporting regulatory examinations, internal audits,…