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Assistant Vice President

2 months ago

New York, New York, United States StoneX Group Full time
About the Role

We are seeking a highly skilled Compliance Specialist to join our Fixed Income team at the StoneX Group. As a key member of our compliance team, you will play a critical role in ensuring the firm's fixed income activities are in compliance with relevant laws and regulations.

Key Responsibilities
  • Compliance Monitoring and Testing: Interpret and apply SEC, FINRA, MSRB, and self-regulatory organization rules and guidance to ensure the firm's policies and procedures comply with applicable laws and regulations.
  • Fixed Income Control Testing: Conduct regular control testing to identify compliance issues and control deficiencies, ensuring timely resolution and adherence to standards.
  • Best Execution Committee: Administer the Fixed Income Best Execution Committee quarterly meetings, ensuring effective communication and collaboration among stakeholders.
  • TRACE Reporting Process: Identify areas of improvement or efficiencies in the firm's TRACE reporting process and work with stakeholders to implement enhancements.
  • Rule Changes and Compliance Projects: Lead working groups to coordinate with necessary stakeholders to address rule changes and implement compliance projects.
  • Supervisory Processes and Controls: Work with senior management to ensure that appropriate supervisory processes and controls are established and documented within the areas of responsibility.
  • Market Access Controls: Primary role in the firm's monitoring and evaluation of 15c3-5 (Market Access) controls.
  • Compliance Surveillance: Engage in proactive surveillance activities to detect and resolve potential compliance issues.
  • Process Improvement: Key focus on reviewing current processes and identifying opportunities for efficiencies and automation.
  • Third-Party Integration: Work to further integrate third-party fixed income surveillance systems.
  • Compliance Training: Develop training material focused on fixed income sales and trading rules and regulations.
  • Written Procedures: Ensure assigned written procedure sections are appropriately documented and referenced in the firm's compliance manuals and written supervisory procedures.
  • Regulatory Exams and Inquiries: Coordinate with internal stakeholders to provide requested data or information in response to regulatory exams and inquiries.
Requirements
  • Education: Bachelor's degree in Finance, Accounting, or other related field, preferred.
  • Professional Certifications: SIE, Series 7, Series 63, and Series 24.
  • Skills: Highly organized with great attention to detail, proven communication, analytical, and project management skills.
  • Experience: Experience in dealing with senior compliance and regulatory staff at the various exchanges and regulatory agencies.
  • Industry Participation: Participant in industry, regulatory, and exchange panels, organizations, and committees.
Classification and Travel

This is a full-time, exempt position with 10-15% travel requirements.