Analyst Compliance

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 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 NGOs religious entities multinational corporations and financial institutions.

Job purpose:

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 Firms various business lines.

General Duties

• 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 Teams shared mailbox
• Assist the Team with completion of deep dive ad hoc monitoring tasks
• Completion of ongoing tasks that sit within the teams 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

Knowledge and Experience

Preferred:

• Basic knowledge of FCA handbook
• Basic knowledge of exchange traded products

Qualifications

Essential:

• Fluency in business English

Preferred:

• University degree/Professional Compliance Qualification

Skills

• 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

#LI-Hybrid #LI-AS1