Vice President of Fixed Income Compliance

2 weeks ago

New York, New York, United States StoneX Group Full time

Overview:

Permanent, full-time onsite position.

Connecting clients to markets and talent to opportunity.

With a workforce of 4,300 and a client base exceeding 400,000 retail and institutional clients across more than 80 offices worldwide, we are a Fortune-100, Nasdaq-listed organization dedicated to linking clients with global markets through innovation, personal connections, and exceptional products and services for all investors.

Whether your ambition lies in guiding retail clients towards trading prospects or immersing yourself in institutional investment, The StoneX Group comprises four divisions that provide limitless opportunities for career advancement and development.

Institutional: Engage with top-tier institutional-grade technology, collaborating with industry specialists while gaining exposure to diverse asset classes, including equities, options, fixed income securities, and advanced trading, research, and management technologies.

Corporate: Participate in a wide array of essential business functions that ensure our operations run smoothly. From strategic marketing and financial oversight to human resources and operational management, you will have the chance to enhance processes and implement transformative policies.

Position Purpose:

The main responsibilities involve overseeing the firm's fixed income operations and providing support to the Fixed Income Division. This role demands excellent communication and writing abilities, alongside the capacity to juggle multiple tasks in a fast-paced environment. The selected candidate will assist in drafting and maintaining Written Supervisory Procedures (WSPs) to guarantee compliance with fixed income regulations. A solid understanding or a willingness to learn the relevant rules, regulations, and associated guidelines is crucial.

Primary Accountabilities/Responsibilities:

  • Interpret SEC, FINRA, MSRB, and self-regulatory organization rules and guidelines to ensure the firm's policies and procedures align with applicable laws and regulations.
  • Conduct fixed income control assessments to identify compliance challenges and control weaknesses, ensuring prompt resolution and adherence to standards.
  • Administer quarterly meetings for the Fixed Income Best Execution Committee.
  • Identify opportunities for improvement or efficiencies in the firm's TRACE reporting process and collaborate with stakeholders to implement enhancements.
  • Lead working groups to coordinate with necessary stakeholders to address regulatory changes.
  • Collaborate with senior management to ensure appropriate supervisory processes and controls are established and documented within the areas of responsibility.
  • Play a key role in the firm's monitoring and evaluation of 15c3-5 (Market Access) controls.
  • Work with external consultants to thoroughly document 15c3-5 controls testing.
  • Engage in proactive surveillance activities to identify and resolve potential compliance issues.
  • Focus on reviewing current processes and identifying opportunities for efficiencies and automation.
  • Advance the integration of third-party fixed income surveillance systems.
  • Take a leadership role in various compliance projects, including regulatory changes.
  • Assist in monthly Principals meetings.
  • Create and maintain Standard Operating Procedures (SOP) in areas of responsibility.
  • Develop subject matter expertise in specific fixed income regulations (Best Execution, TRACE, and Mark Up/Down).
  • Prepare training materials focused on fixed income sales and trading regulations.
  • Ensure assigned written procedure sections are accurately documented and referenced in the firm's compliance manuals and written supervisory procedures.
  • Coordinate with internal stakeholders to provide requested data or information in response to regulatory examinations and inquiries.

Job Requirements:

  • Bachelor's degree in Finance, Accounting, or a related field is preferred.
  • SIE, Series 7, Series 63, and Series 24 certifications.
  • Highly organized with a keen attention to detail.
  • Demonstrated communication, analytical, and project management skills.
  • Ability to make sound judgments and act swiftly under tight deadlines.
  • Experience interacting with senior compliance and regulatory personnel at various exchanges and regulatory bodies.
  • Active participation in industry, regulatory, and exchange panels, organizations, and committees.

Classification: Full-time, Exempt

Travel: 10-15%

Must be authorized to work in the US for any employer.

Compensation: Hiring Salary Range $115,000 - $135,000 (Salary will be determined based on education, experience, knowledge, skills, and abilities of the applicant, internal equity, and alignment with market data.) Subject to business performance and management recommendations, this role may be eligible for an incentive compensation plan. This compensation package, along with a comprehensive range of medical, financial, and/or other benefits, is offered depending on the position.

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