Company Overview
Whether you want to forge a career connecting our retail clients to potential trading opportunities, or ingrain yourself in the world of institutional investing, The StoneX Group is made up of four segments that offer endless potential for progression and growth.
We engage in a deep variety of business-critical activities that keep our company running efficiently. From strategic marketing and financial management to human resources and operational oversight, you’ll have the opportunity to optimize processes and implement game-changing policies.
Job Purpose:
To support the continuing development of this highly successful business, the individual will support the Compliance department with its surveillance responsibilities. This role will sit within the Central Surveillance Team and will focus on providing support and monitoring across the Firm’s various business lines.
Responsibilities
- Processing trade and communications surveillance alerts to identify potential compliance risks.
- Participating in any testing of new calibration or systems relating to the surveillance processes.
- Facilitating employee compliance controls including approving personal account trades and outside business activities, regular attestations, personal account trading surveillance, etc.
- Preparing management information (MI) for surveillance processes.
- Assisting in preparing information for regulatory and exchange enquiries.
- Participating in, and representing the team in, various team meetings, training sessions etc.
- Management of the Team’s shared mailbox.
- Assist the Team with completion of deep dive reviews.
- Completion of ongoing tasks that sit within the team’s Compliance Monitoring Programme.
- Assist in the administration of compliance policies and procedures relating to surveillance.
- Support new business initiatives e.g. new products/jurisdictions, acquisitions.
- Conducting Compliance Inductions to new employees.
- Other ad hoc tasks to support the work of the Compliance Department.
Qualifications
To land this role you will need :
Knowledge And Experience
Preferred:
- Basic knowledge of FCA handbook
- Basic knowledge of exchange traded products
- Basic knowledge of capital markets
Qualifications
Essential:
- Fluency in business English
Preferred:
- University degree/Professional Compliance Qualification
- CISI Rules & Regulation Paper (if this is not already held, it will need to be passed as part of the onboarding for the role)
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