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Chief Compliance Officer

2 months ago

New York, New York, United States StoneX Group Inc. Full time
Job Title: Chief Compliance Officer

StoneX Group Inc. is seeking a highly experienced Chief Compliance Officer to lead our swap dealer compliance program. As a key member of our team, you will be responsible for ensuring our compliance with applicable rules and regulations.

Key Responsibilities:
  • Lead the oversight of the swap dealer compliance program, ensuring effectiveness and timely completion of tasks.
  • Develop and implement policies and procedures to ensure compliance with CFTC, NFA, and swap dealer rules.
  • Identify and resolve conflicts of interest, and administer the swap dealer compliance training program.
  • Prepare and file the annual CCO report, and serve as a lead compliance coordinator for regulatory requests and examinations.
  • Collaborate with other departments to direct compliance issues to appropriate channels for investigation and resolution.
Requirements:
  • 7 to 10+ years of direct swap dealer compliance experience, with prior experience at a regulator, private firm, or both.
  • Expert knowledge of CFTC, NFA, and swap dealer rules.
  • Demonstrated ability to work collaboratively with people in connection with challenging issues.
  • Strong organization skills, attention to detail, and ability to manage multiple tasks and adapt to changing priorities.
  • Effective written and oral communication skills, with ability to present information and respond to questions from managers, customers, and the general public.
Location:

Hybrid work schedule requiring a minimum of 3 days per week in office. Chicago, NJ, or NY office location.

Climate-controlled office environment. Must be authorized to work in the US for any employer.