Compliance Officer - Investment Advisory

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.

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.

Senior Compliance Officer, Investment Advisor Services, reports directly to the Chief Compliance Officer (CCO). The role supports the retail business lines of Stone

X Wealth Management and Stone

X Group.

The successful candidate will possess strong communication skills, superior writing skills, a strong working knowledge of MS Excel for data management and reporting, and the ability to manage multiple tasks in a dynamic environment.

• Provide guidance and support to employees of Stone
  
  X RIA companies related to the Code of Ethics (COE) and Written Supervisory Policies (WSP), as well as related regulatory issues.
• Assist the CCO in the coordination of the annual 206(4)-7 review, including aiding in drafting new or changing policies and procedures.
• Perform recurring reporting routines that support the advisory compliance efforts, including the review of system reports, rules and outputs to ensure compliance and that supervision needs are addressed.
• Review supervisory activities with respect to advisory programs to ensure compliance with established guidelines.
• Assist in drafting, reviewing and preparing the firm’s Disclosure Brochure(s) (Form ADV 2A).
• Facilitate regulatory filings on behalf of RIA companies and related Stone
  
  X entities, including Form ADV Part 1 and 2, 13F, NP‑X, 13H, etc.
• Assist in the review and approval of marketing materials and internal communications, as necessary.
• Research and respond to regulatory requests as necessary.
• Participate in other compliance initiatives on behalf of Stone
  
  X, as may be assigned.
• Perform other duties related to Stone
  
  X business, as may be assigned.
• Support Stone
  
  X Securities Inc., a registered broker dealer, as needed.

• Bachelor’s degree or equivalent financial industry or related compliance experience required.
• FINRA Series 7, 65 or 66, and 24 required. Series 14 and/or IACCP preferred.
• 5 years of previous compliance or related industry experience preferred.
• Strong knowledge of the investment advisory business, including basic custody and trading operations, systems and interfaces, account set up, billing and performance reporting.
• Knowledgeable in the Investment Advisers Act of 1940, as well as rules promulgated pursuant to the Act.
• Ability to apply industry‑specific knowledge, related to existing, proposed and new regulations, to current situations and to assist, as needed, in the development of appropriate policies and procedures.
• Knowledge of Independent RIA and broker dealer model.
• Strong analytical and problem‑solving skills.
• Strong communication skills, both written and verbal.
• High level technical skills including strong‑to‑expert level knowledge of MS Excel, MS Access, and/or Power BI.
• Previous experience with custodial/clearing and TAMP systems including Envestnet and Advyzon preferred.
• Strong time management skills and an ability to multi‑task in a dynamic and time‑sensitive environment.
• Ability to develop positive and productive relationships with business line partners.
• Ability to lead/direct others and delegate where appropriate in a professional and ethical manner.