Branch Inspections Compliance Analyst

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 Stone

X Group is made up of four 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.

To plan and conduct branch examinations. May perform other compliance duties/responsibilities as part of a compliance team.

Primary duties will include:

• Conduct scheduled and unscheduled branch office inspections across all registered and non-registered office locations, for multiple Stone
  
  X broker dealers and RIAs, both onsite and remote
• Review branch operations, sales practices, supervisory procedures, and recordkeeping for compliance with FINRA, SEC, and other applicable regulations
• Properly document findings, recommendations, and required corrective actions.
• Prepare detailed examination reports outlining findings, recommendations, and required corrective actions.
• Assist in the development and ongoing maintenance of comprehensive Written Supervisory Procedures (WSPs).
• Conduct assigned supervisory control testing and document results.
• Interpret and apply relevant securities laws and regulations related to the role’s responsibilities.
• Provide guidance, education, and training firm employees, representatives, and business units on regulatory changes, compliance matters, internal policies, and industry best practices.
• Support responses to regulatory inquiries, examinations, and investigations as needed.
• Foster collaborative and professional relationships with business partners.
• Participate in compliance-related and cross-functional projects as assigned.
• Perform other duties and responsibilities as assigned by management.

To land this role you will need:

• Minimum of 5 years of experience in a compliance-related role within the financial services industry.
• Strong knowledge of FINRA, SEC, and other regulatory requirements
• Demonstrated analytical, problem-solving, and investigative skills.
• Strong leadership capabilities and sound decision-making judgment.
• Excellent verbal and written communication skills.
• Proficiency in Microsoft Office Suite, particularly Excel.
• Ability to build and maintain positive, productive relationships across departments and with external stakeholders.
• Broad understanding of broker-dealer operations and applicable regulatory frameworks.
• Must uphold and model a high standard of professionalism and ethical conduct.

• Prior experience conducting branch audits or examinations preferred.

• Bachelor’s degree in management, Finance, or a related field.
• Must possess FINRA Series 7 and Series 24 licenses.

• Remote position
• Ability to travel up to 75% of the time.

Hiring Salary Range $75,000 - $115,000. Salary to be determined by the education, experience, knowledge, skills and abilities of the applicant, internal equity and alignment with market data.

Stone

X Group Inc. is an Equal Opportunities Employer and welcomes applications from diverse candidates.