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Senior Compliance Officer for Financial Advisors

2 months ago

Winter Park, Florida, United States StoneX Full time

Opportunity Overview

Become a part of a leading financial services firm that connects clients to a wide array of global market opportunities. With a robust client base and a commitment to innovation and exceptional service, we provide numerous avenues for professional development and career progression.

Business Segment Focus:

Engage with advanced technological solutions and gain insights into diverse asset classes. Collaborate with seasoned professionals in equities, options, fixed income, and more.

Job Description:

In the role of the principal for Independent Financial Advisors, you will be responsible for ensuring adherence to regulatory standards and internal policies within your designated area.

Key Responsibilities:

  • Evaluate and authorize new account submissions
  • Oversee transactions and sanction trades
  • Provide guidance to advisors regarding company policies
  • Perform business practice assessments and inquiries
  • Advise on disciplinary measures as necessary

Required Qualifications:

  • Background in broker-dealer or investment advisory sectors
  • Familiarity with financial instruments and compliance regulations
  • Strong organizational and communication abilities
  • Competence in Microsoft Office Suite

Educational Background:

  • Possession of Series 7, 24, and 66 (or 63 and 65) or the capability to acquire within a specified timeframe
  • Bachelor's Degree in Finance, Investments, Economics, or a related discipline

Work Environment:

  • Hybrid model with in-office presence required for part of the week