Security Swap Dealer Senior Compliance Officer

Security Based Swap Dealer Senior Compliance Officer

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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.

Stone

X provides institutional-grade global market access, end-to-end clearing and execution, high-touch service and deep expertise through one trusted partner. Clients use our global financial services network and our digital platforms to pursue trading opportunities, make investments, manage market risk and improve performance. Our relentless focus on helping them accomplish these objectives has enabled us to establish leadership positions in a number of complex fields across the global markets ecosystem.

Consisting of all of the platforms, products and services available through Stone

X Group Inc. and its regulated subsidiary companies, the Stone

X network connects clients to the global commodities, securities, foreign exchange and global payments markets. Stone

X clients include the producers, processors and end users of virtually every major traded commodity; traders and investors in nearly all securities and foreign currencies, whether institutional or retail; and governmental, non-governmental and charitable organisations worldwide.

Innovative and well-capitalised, Stone

X companies put our clients’ interests first by building deeply valued, long-term relationships that emphasise guidance, integrity, transparency and trust. A Fortune 100 company with a nearly 100-year track record, Stone

X Group Inc. serves more than 50,000 commercial, institutional and payments clients, and more than 370,000 retail accounts, from nearly 80 offices across six continents. Our customers are at the heart of our business, and we are dedicated to empowering them to achieve their financial objectives and good outcomes.

Stone

X is establishing and implementing a Security Based Swap Dealer ("SBSD") program within their current institutional broker dealer, Stone

X Financial Inc. (SFI). The Firm seeks a seasoned compliance officer that has prior securities and swap dealer experience. The primary objective is to work with internal business partners, legal, and external consultants to build a compliance program designed to comply with regulatory requirements to support this effort. Work with consultants to complete SEC and FINRA CMA filings. Prepare and provide the necessary documents to complete these filings.

Work with designated business partners to ensure the appropriate supervisory program is in place.

Serve as the leader in all aspects of compliance associated with the SBSD and partner with various business units to aid in achieving their objectives post approval and implementation. Work closely with management and members of the SFI compliance team and other functional areas across the firm ensuring an appropriate compliance framework to meet the firm’s compliance and regulatory obligations. Responsible for identifying areas of compliance improvement, strategically solve to improve areas as identified and work towards the end goal of ensuring compliance with applicable rules and regulations.

In addition to leading the oversight of the SBSD compliance program, the Senior Compliance Officer will provide the CCO, management and the Board with periodic updates, ensure adequate policies and procedures are in place, administer the firm’s training program, coordinate and oversee regulatory exams and requests and assist with the annual CCO report.

• Daily oversight of the compliance program ensuring effectiveness and timely completion of tasks
• Responsible for ensuring adequate policies and procedures are in place for all SBSD activities
• Identity and resolve any conflicts of interest that may arise
• Responsible for the administration of the SBSD compliance training program
• Serve as a lead compliance coordinator for regulatory…