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StoneX Group Inc. · 2 days ago

Security Based Swap Dealer Senior Compliance Officer

New York, NY

Full-time

Hybrid

Senior Level

$150K/yr - $190K/yr

7+ years exp

StoneX Group Inc. is a Fortune-100 provider connecting clients to global markets, seeking a seasoned compliance officer to establish and implement a Security Based Swap Dealer program. This role involves leading compliance efforts, working with internal and external partners to ensure adherence to regulatory requirements, and overseeing the compliance training program.

FinanceFinancial ServicesIntellectual Property

No H1B

Responsibilities

Serve as the leader in all aspects of compliance associated with the SBSD and partner with various business units to aid in achieving their objectives post approval and implementation

Work closely with management and members of the SFI compliance team and other functional areas across the firm ensuring an appropriate compliance framework to meet the firm’s compliance and regulatory obligations

Responsible for identifying areas of compliance improvement, strategize solutions to improve areas as identified and work towards the end goal of ensuring compliance with applicable rules and regulations

In addition to leading the oversight of the SBSD compliance program, the Senior Compliance Officer will provide the CCO, management and the Board with periodic updates, ensure adequate policies and procedures are in place, administer the firm’s training program, coordinate and oversee regulatory exams and requests and assist with the annual CCO report

Daily oversight of the compliance program ensuring effectiveness and timely completion of tasks

Responsible for ensuring adequate policies and procedures are in place for all SBSD activities

Identity and resolve any conflicts of interest that may arise

Responsible for the administration of the SBSD compliance training program

Serve as a lead compliance coordinator for regulatory requests and examinations (SEC/FINRA)

Assist Management with strategic projects and initiatives

Collaborate with other departments (e.g., Risk Management, Internal Audit, Human Resources, etc.) to direct compliance issues to appropriate existing channels for investigation and resolution. Consults with Corporate Counsel as needed to resolve difficult legal/compliance issues

Serve as the lead point of contact for internal inquiries from other teams and business units

Identify potential areas of compliance vulnerability and risk; develop and/or implement corrective action plans/controls for resolution and sustained compliance in the future

Provide compliance support for new product, sales and technical initiatives

Qualification

Security-based swap dealer complianceExpert knowledge of SEC rulesExpert knowledge of FINRA rulesBachelor’s degree in FinanceMicrosoft OfficeResearchInterpretation skillsOrganization skillsEffective communication skillsWork independentlyAttention to detail

Required

Bachelor's degree in Finance or Business

7 to 10+ years of direct security-based swap dealer compliance experience. Prior experience at a regulator, private firm, broker dealer or required

Expert knowledge of SEC, FINRA rules related to security-based swap dealer rules required, including SEC and FINRA rules governing equities

Demonstrated ability working collaboratively with people in connection with challenging issues

Strong organization skills along with attention to detail

Ability to manage multiple tasks and adapt to changing priorities in a fast-paced environment

Ability to effectively present information and respond to questions from managers, customers, and the general public via effective written and oral communication skills

Skilled in researching, interpreting, and disseminating information on compliance regulations and laws

Ability to work independently

Demonstrated proficiency using Microsoft Office

Must be available for travel as needed – anticipated 5%- 15% of the time but potentially 25% at times

Must be authorized to work in the US for any employer

Maintains prompt and regular attendance