StoneX Group Inc. · 3 months ago
Branch Inspections Compliance Analyst
US-AL-Birmingham
Full-time
Hybrid
Mid, Senior Level
$75K/yr - $115K/yr
5+ years expStoneX Group Inc. is a Fortune-100, Nasdaq-listed provider connecting clients to the global markets. The Branch Inspections Compliance Analyst will plan and conduct branch examinations and perform various compliance duties as part of a compliance team.
FinanceFinancial ServicesIntellectual Property
Responsibilities
Conduct scheduled and unscheduled branch office inspections across all registered and non-registered office locations, for multiple StoneX broker dealers and RIAs, both onsite and remote
Review branch operations, sales practices, supervisory procedures, and recordkeeping for compliance with FINRA, SEC, and other applicable regulations
Properly document findings, recommendations, and required corrective actions
Prepare detailed examination reports outlining findings, recommendations, and required corrective actions
Assist in the development and ongoing maintenance of comprehensive Written Supervisory Procedures (WSPs)
Conduct assigned supervisory control testing and document results
Interpret and apply relevant securities laws and regulations related to the role’s responsibilities
Provide guidance, education, and training firm employees, representatives, and business units on regulatory changes, compliance matters, internal policies, and industry best practices
Prepare detailed examination reports outlining findings, recommendations, and required corrective actions
Support responses to regulatory inquiries, examinations, and investigations as needed
Foster collaborative and professional relationships with business partners
Participate in compliance-related and cross-functional projects as assigned
Perform other duties and responsibilities as assigned by management
Qualification
Required
Minimum of 5 years of experience in a compliance-related role within the financial services industry
Strong knowledge of FINRA, SEC, and other regulatory requirements
Demonstrated analytical, problem-solving, and investigative skills
Strong leadership capabilities and sound decision-making judgment
Excellent verbal and written communication skills
Proficiency in Microsoft Office Suite, particularly Excel
Ability to build and maintain positive, productive relationships across departments and with external stakeholders
Broad understanding of broker-dealer operations and applicable regulatory frameworks
Must uphold and model a high standard of professionalism and ethical conduct
Bachelor's degree in management, Finance, or a related field
Must possess FINRA Series 7 and Series 24 licenses
Ability to travel up to 75% of the time
Preferred
Prior experience conducting branch audits or examinations preferred
Benefits
Full range of medical, financial, and/or other benefits
Company
StoneX Group Inc.
Connection isn't just something we provide—it's who we are. StoneX Group Inc.
1001-5000 employees
H1B Sponsorship
StoneX Group Inc. has a track record of offering H1B sponsorships. Please note that this does not
guarantee sponsorship for this specific role. Below presents additional info for your
reference. (Data Powered by US Department of Labor)
Distribution of Different Job Fields Receiving Sponsorship
Represents job field similar to this job
Trends of Total Sponsorships
2025 (18)
2024 (14)
2023 (27)
2022 (15)
2021 (19)
2020 (4)
Funding
Current Stage
Public CompanyTotal Funding
$1.18B2025-06-23Post Ipo Debt· $625M
2024-02-15Post Ipo Debt· $550M
2003-01-10IPO
Leadership Team
Glenn Stevens
CEO
Sean O'Connor
Chief Executive Officer
Recent News
Business Wire
2026-01-09
2026-01-09
Company data provided by crunchbase