StoneX Group Inc. · 3 months ago
Head of Central Surveillance
US-IL-Chicago
Full-time
Onsite
Director/Executive
$150K/yr - $190K/yr
10+ years expStoneX Group Inc. is a Fortune-100, Nasdaq-listed provider connecting clients to the global markets. The Head of Central Surveillance will oversee the trade surveillance team, ensuring compliance with regulatory standards and managing a small team of compliance professionals.
FinanceFinancial ServicesIntellectual Property
No H1B
Responsibilities
Take lead role in reviewing daily trade and market surveillance alerts generated by customers and internal traders. Use investigative skills to review trading patterns, potential issues, and other disruptive trading practices that could constitute violations of regulations or exchange rules. Collaborate within Compliance to resolve issues
Manage a small team of compliance professionals
Work both internally as well as with outside vendors to appropriately calibrate the program
Ensure regular risk assessments are undertaken reflecting the nature of the business and regulatory/exchange environment
Manage and participate in the pre-trade and post-trade review process for both entities including Exchange for Related Position (EFRP) and OTC Life of a Trade (LOAT) reviews
Ensure policies and procedures and other documentation is up to date and fit for purpose
Provide training and advice to junior staff and front office employees around market conduct and disruptive practices
Constantly review the program for improved efficiencies, including the use of AI
Regularly attend industry conferences and calls, staying up to date on continuing developments
Participate in the completion of the annual compliance audit by the firm’s designated self-regulatory organization
Ensure appropriate and regular management information is produced
Act as a liaison between the Firm and Exchange Market Regulation personnel
Identify potential areas of compliance vulnerability and risk; develops and/or implements corrective action plans for resolution of problematic issues and provides general guidance on how to avoid or deal with similar situations in the future
This list of responsibilities may not be all-inclusive and may be reasonably expanded to include other duties or responsibilities as needed
Qualification
Required
10+ years' compliance experience preferably with exposure to commodities and FX
Must be familiar with futures, options, and commodity swaps under the jurisdiction of the CFTC, and FX
Strong organization skills along with attention to detail
Demonstrated proficiency using Microsoft Office
Ability to manage multiple tasks and adapt to changing priorities in a fast-paced environment
Experience in researching, interpreting and disseminating information on compliance regulations and laws
Effective written and oral communication skills
Minimum 4 days/week in the office (or as the Firm dictates)
Dynamic, time-sensitive environment
Demonstrated ability working with people in connection with challenging issues
Ability to work independently
Must be available for travel as needed – expected 10% or less of the time
Must be authorized to work in the US for any employer
Preferred
Familiarity with securities-based swaps under the jurisdiction of the SEC preferred
Previous people management skills preferred
Bachelor's degree in finance or business or equivalent years' experience in finance or compliance preferred
Benefits
A 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
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
2026-01-20
Business Wire
2026-01-09
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