Compliance Associate

Overview

The Company 

Innovative, future-focused and collaborative, StoneX Group Inc. (NASDAQ: SNEX) is a global financial services firm with an entrepreneurial culture and a passion for providing world-class services to our clients. A Fortune-100 company with a nearly 100-year track record, with 3,300 employees and over 400,00 retail and institutional clients from more than 40 offices spread across five continents, we connect clients to the global markets – focusing on innovation, human connection, and providing world-class products and services to all types of investors.   

 

Today's global financial markets offer a world of opportunities. To trade. To invest. To manage risk. And to grow. We believe in connecting every company, every organization, every trader, and every investor to every advantage they need to succeed in today’s global markets ecosystem.  

 

But that belief doesn’t stop at our clients. We also believe in connecting every single one of our employees to every opportunity they need to succeed in their own careers, too. From an entrepreneurial culture to a collaborative environment working alongside highly skilled specialists, a career at StoneX also offers a world of opportunities. To invest in yourself. To achieve. And to grow.   

 

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.

 

We Connect Clients to Markets.  

Responsibilities

Compliance Associate with a focus on Promotional Material review and related processes, will initially be responsible for reviewing and approving promotional materials created by the FCM, Swap Dealer, and Retail Foreign Exchange Dealer divisions of StoneX. This includes marketing content, websites, research content, market commentary, seminar/webinar materials, social media, event promotions, etc.

• Conduct Reviews of promotional material
• Develop enhanced processes and procedures for promotional material reviews (automation, AI, system utilization)
• Work closely with front office to train them on requirements
• Train team members on NFA/CFTC/CME regulations related to promotional material
• Assist in developing a centralized promotional review team
• Maintain disclaimers
• Ad hoc projects unrelated to promo

Qualifications

StoneX Essential QualificationsAbility to maintain confidentiality and appropriately handle sensitive information with tact and discretionSound verbal/written communication abilitiesEffective interpersonal skillsSense of urgencyHonesty, curiosity, and tenacityStrong work ethic and emphasis on attention to detailThe confidence to failEarly Careers RequirementsCompleted or pursuing a bachelor’s degree from an accredited university in a relevant program graduating between June 2023 and June 2025

0-2 years of relevant compliance experience with a CFTC registered firm, NFA Member firm, or with a regulator

Proficiency with Microsoft Office suite

Strong quantitative and analytical aptitude and skills

Ability to work within a team environment

Must be authorized to work in the US for any employerWorking EnvironmentHybrid 

 

Hiring Salary Range $50,000 - $60,000 (Salary to be determined by the education, experience, knowledge, skills and abilities of the applicant, internal equity and alignment with market data.)   Subject to business performance and recommendations of management, this role may be eligible to participate in an incentive compensation plan.  This compensation package, in addition to a full range of medical, financial, and/or other benefits, dependent on the position, is offered.