Associate Compliance Officer – Wealth Management

StoneX; Miami (FL); Vor Ort; USD 60.000 - 100.000; Vollzeit

Benefits dieser Stelle

Incentive compensation plan

Medical benefits

Financial benefits

Zusammenfassung

StoneX Group is hiring a Junior Compliance Officer for Investment Advisor Services. You will support the retail wealth management line, applying strong communication and MS Excel data-management skills in a fast-paced environment.

The role focuses on COE/WSP guidance, policy development, and regulatory tasks, with opportunities to work across advisory compliance and broker-dealer operations within StoneX.

Qualifikationen

• Bachelor’s degree or equivalent financial industry or related compliance experience required.
• Strong knowledge of the investment advisory business and related compliance.
• Ability to apply industry-specific knowledge to develop policies and procedures.
• Knowledge of Independent RIA and broker-dealer model.
• Very strong written and verbal communication skills.

Aufgaben

• Provide guidance and support to employees of StoneX RIA companies related to COE and WSP, and regulatory issues.
• Assist the CCO in coordinating the annual 206(4)-7 review and drafting policies.
• Perform recurring reporting routines to support advisory compliance and supervision.
• Review supervisory activities to ensure compliance with guidelines.
• Assist in drafting and reviewing Disclosure Brochure(s) (Form ADV 2A).
• Review/approve marketing materials and internal communications.
• Research and respond to regulatory requests.
• Participate in other compliance initiatives as assigned.
• Support StoneX Securities Inc. as needed.

Kenntnisse

Strong communication

Analytical thinking

Problem solving

MS Excel

MS Access

Power BI

RIA/broker-dealer model

Regulatory knowledge

Time management

Ausbildung

Bachelor’s degree or equivalent compliance experience

Tools

MS Excel

MS Access

Power BI

Envestnet

Advyzon

Jobbeschreibung

StoneX Group is hiring a Junior Compliance Officer for Investment Advisor Services. You will support the retail wealth management line, applying strong communication and MS Excel data-management skills in a fast-paced environment.

The role focuses on COE/WSP guidance, policy development, and regulatory tasks, with opportunities to work across advisory compliance and broker-dealer operations within StoneX.