Assistant Vice President of Fixed Income Compliance

17 hours ago

New York, New York, United States StoneX Group Inc. Full time
Job Title: Assistant Vice President of Fixed Income Compliance

Join the StoneX Group Inc. team as an Assistant Vice President of Fixed Income Compliance, where you will play a critical role in ensuring the firm's compliance with regulatory requirements and industry standards.

About the Role:

The primary responsibilities of this role include:

  • Interpreting and implementing SEC, FINRA, MSRB, and self-regulatory organization rules and guidance to ensure the firm's policies and procedures comply with relevant laws and regulations.
  • Conducting fixed income control testing to identify compliance issues and control deficiencies, ensuring timely resolution and adherence to standards.
  • Administering the Fixed Income Best Execution Committee quarterly meetings.
  • Identifying areas of improvement or efficiencies in the firm's TRACE reporting process and working with stakeholders to implement enhancements.
  • Leading working groups to coordinate with necessary stakeholders to address rule changes.
  • Working with senior management to ensure that appropriate supervisory processes and controls are established and documented within the areas of responsibility.
  • Primary role in the firm's monitoring and evaluation of Firm's 15c3-5 (Market Access) controls.
  • Collaborating with outside consultants to thoroughly document 15c3-5 controls testing.
  • Engaging in proactive surveillance activities to detect and resolve potential compliance issues.
  • Key focus on reviewing current processes and identifying opportunities for efficiencies and automation.
  • Working to further integrate third-party fixed income surveillance systems.
  • Taking leadership roles on various compliance projects, such as rule changes.
  • Assisting in the monthly Principals meetings.
  • Creating and maintaining Standard Operating Procedures (SOP) in areas of responsibility.
  • Developing subject matter expertise in specific fixed income rules (Best Execution, TRACE, and Mark Up/Down) and regulations.
  • Developing training material focused on fixed income sales and trading rules and regulations.
  • Ensuring assigned written procedure sections are appropriately documented and referenced in the firm's compliance manuals and written supervisory procedures.
  • Coordinating with internal stakeholders to provide requested data or information in response to regulatory exams and inquiries.
Requirements:
  • Bachelor's degree in Finance, Accounting, or other related field, preferred.
  • SIE, Series 7, Series 63, and Series 24.
  • Highly organized with great attention to detail.
  • Proven communication, analytical, and project management skills.
  • Ability to reach sound judgments and act quickly under tight deadlines.
  • Experience in dealing with senior compliance and regulatory staff at various exchanges and regulatory agencies.
  • Participant in industry, regulatory, and exchange panels, organizations, and committees.
Classification:

Full-time, Exempt.

Travel:

10-15%.

Salary:

$115,000-$135,000 (Salary to be determined by the education, experience, knowledge, skills, and abilities of the applicant, internal equity, and alignment with market data.)

Subject to business performance and recommendations of management, this role may be eligible to participate in an incentive compensation plan. This compensation package, in addition to a full range of medical, financial, and/or other benefits, dependent on the position, is offered.

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