Brokerage Compliance & Email Surveillance Associate

First Roles; Winter Park (FL); Hybrid; USD 55,000 - 70,000; Full time

Job summary

StoneX Group is seeking a Broker Dealer Designated Principal Email Review role in Winter Park, FL. Primary duties include reviewing emails and other electronic communications for supervision, with a focus on accuracy and compliance. The position requires 2 years of broker-dealer supervision experience and licenses including Series 7, 24, and 63.

Expect 4 days onsite and 1 day remote per week. Salary range is $55,000 to $70,000, with potential for involvement in incentive compensation plans and

Qualifications

• 2 years of broker dealer supervision experience.
• Email surveillance experience.
• Good communication skills.
• Bachelor's degree or industry experience preferred.

Responsibilities

• Review broker-dealer emails across the firm.
• Review email and social media and other electronic communications.
• Support compliance by monitoring communications as part of supervision duties.

Skills

Email surveillance

Communication skills

Education

College degree or Industry Experience

Series 7/24/63 licenses

Job description

StoneX Group is seeking a Broker Dealer Designated Principal Email Review role in Winter Park, FL. Primary duties include reviewing emails and other electronic communications for supervision, with a focus on accuracy and compliance. The position requires 2 years of broker-dealer supervision experience and licenses including Series 7, 24, and 63.

Expect 4 days onsite and 1 day remote per week. Salary range is $55,000 to $70,000, with potential for involvement in incentive compensation plans and