VP - Compliance, Equity Capital Markets

Location: New York

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. Institutional:
Immerse yourself in the best-in-class institutional-grade technology, working alongside industry experts and gaining exposure to various asset classes, such as equities, options, fixed income securities, and advanced trading, research, and management technology.

Role Purpose The successful candidate will possess a comprehensive understanding of the rules and regulations governing the equity capital markets, together with practical experience in a broker-dealer environment. The role is accountable for evaluating existing policies, procedures and supervisory processes, confirming that they satisfy applicable regulatory requirements, and designing and executing testing sufficient to evidence the Firm's compliance and supervisory controls.

Working knowledge of the following rules and regulations is required, among others:

SEC Rule 613:
Consolidated Audit Trail (CAT), including order, trade and allocation event reporting, error correction and repair processes, and Customer and Account Information System (CAIS) reporting, including Firm Designated , transformed identifier and legal entity identifier requirements;

Reg SHOFINRA Rule 6460

Reg NMS:
Rule 604, 605, 606, 611

SEC Rule 3a51-1, SEC Rule 15g-2, Schedule 15G, SEC Rule 15g-3:
Low-Priced securities (Penny-stocks),FINRA Rule 5310:
Best Execution and Inter-positioningTRF and ORF reporting logicFINRA Rule 5210

FINRA Rule 5220

Responsibilities

Identify and interpret SEC, FINRA and self-regulatory organization rules and regulations to confirm that StoneX policies and procedures remain compliant across the equity capital markets businesses.

Review existing procedures to confirm compliance with applicable laws, regulations and industry guidance relating to equity capital markets.

Where gaps are identified, escalate and communicate findings to the responsible team, and confirm that remediation is completed and sustainable controls are implemented.

Partner with management at all levels to confirm that appropriate supervisory processes and controls are established, documented and evidenced.

Perform regular testing of StoneX systems to confirm that each system operates as intended and satisfies applicable regulatory requirements, including review of technical specifications, data mappings and system logic.

Conduct testing of existing supervisory reviews and of the monitoring and review processes maintained by the surveillance teams in relation to the rules referenced above, in order to confirm that such processes are sufficient and accurate and that the governing policies and procedures remain aligned with the applicable rules.

Develop, document and refine logic-based exception parameters, surveillance thresholds and testing criteria, and evaluate exception output to identify false positives, coverage gaps and data quality issues requiring escalation or system remediation.

Qualifications

7-15 years experience in Broker Dealer compliance role.

Bachelor's degree in Finance, Accounting or a related field, preferred.

Series 7 and Series 24, preferred.

Demonstrated data…