Compliance Analyst/Associate

StoneX is an institutional-grade financial services network that connects companies, organisations and investors to global markets ecosystem through a unique blend of digital platforms, end-to-end clearing and execution services, high-touch service and deep expertise.

We provide access to multiple derivatives exchanges and foreign exchange markets, nearly every global securities marketplace and a number of bi-lateral liquidity venues. We deliver this access with support throughout the entire lifecycle of a trade – from consulting and “boots-on-the-ground” intelligence, to best execution, to post-trade clearing, custody and settlement. In these ways, StoneX enables clients to use the global markets ecosystem to achieve their business goals through one trusted partner. 

StoneX Financial Ltd (“SFL”), a subsidiary of StoneX Group Inc, is a payment services firm which specialises in transferring funds to the developing world. It provides customized foreign exchange and treasury services to more than 500 customers, including international aid and development organizations, UN agencies, government agencies, NGO's, religious entities, multinational corporations, and financial institutions.

To support the continuing development of this highly successful business, the individual will support the compliance department with its surveillance responsibilities. This role will sit within the Central Surveillance division of the Compliance department and will focus on providing support and monitoring across the Firm’s various business lines. 

• Processing of all surveillance related tasks, including alerts for both trade and communications, personal account trading requests and production of management information
• Assist the Team with monitoring of key regulatory developments
• Assist senior members of the team with offering compliance advice and guidance to other business units as required 
• Assist in the implementation of suitable compliance controls to new business initiatives and new products
• Processing the Team’s shared mailbox
• Assist the Team with completion of “deep dive” ad hoc monitoring tasks
• Completion of ongoing tasks that sit within the team’s Compliance Monitoring Programme (“CMP”)
• Assist with investigating and resolving ad hoc queries from regulators, exchanges and other areas of the business
• Assist in the administration of compliance policies and procedures
• Support new business initiatives e.g. new products/jurisdictions, acquisitions
• Assist in training and coaching junior members of the team, such as apprentices, interns, work experience individuals and graduates
• Conducting Compliance Inductions to new employees
• Provide training to the business, as required

Preferred:

• Basic knowledge of FCA handbook
• Basic knowledge of exchange traded products or Foreign Exchange

Essential:

• Fluency in business English

Preferred

• University degree/Professional Compliance Qualification – professional qualifications may be required to be attained if not already held

• Effective planning, good organisation and time management skills
• Ability to work accurately, thoroughly, reliably and with strong attention to detail
• Strong analytical skills and assist with “forensic” reviews
• Commercial awareness
• Team player
• Ability to work independently and prioritise multiple tasks
• Good relationship building and communications skills (written and oral)
• Computer competency, including Microsoft Outlook/Word/Excel

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