Broker-Dealer Compliance Principal (Email Surveillance)

StoneX Group; Winter Park (FL); Hybrid; USD 55,000 - 70,000; Full time

Benefits offered by this job

Medical benefits

Incentive compensation plan

Job summary

StoneX Group Inc. is seeking a broker-dealer designated principal email review professional to join Institutional operations. You will review email communications and monitor social media to ensure compliance across the firm.

The role requires 2 years of broker-dealer supervision experience, email surveillance expertise, and strong communication skills. Educational requirements include a college degree or equivalent industry experience, plus Series 7/24/63 licenses.

Qualifications

• 2 years of experience in broker-dealer supervision.
• Email surveillance experience.
• Good communication skills.

Responsibilities

• Email and social media review and monitoring
• Review firm email from across the firm
• This list of duties may be expanded by management as needed.

Skills

Email surveillance

Communication skills

Education

College degree or Industry Experience

Series 7/24/63 licenses

Job description

StoneX Group Inc. is seeking a broker-dealer designated principal email review professional to join Institutional operations. You will review email communications and monitor social media to ensure compliance across the firm.

The role requires 2 years of broker-dealer supervision experience, email surveillance expertise, and strong communication skills. Educational requirements include a college degree or equivalent industry experience, plus Series 7/24/63 licenses.