Compliance Associate, Email Review

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

Connecting clients to markets – and talent to opportunity.

With 5,400+ employees and over 80,000 institutional, commercial, and payments clients, we operate from more than 80 offices spread across six continents. As a Fortune 100, Nasdaq-listed provider, we connect clients to the global markets – focusing on innovation, human connection, and providing world-class products and services to all types of investors.

Whether you want to forge a career connecting our retail clients to potential trading opportunities, or ingrain yourself in the world of institutional investing, StoneX Group is made up of four business segments that offer endless potential for progression and growth.

Business Segment Overview:

Institutional : Immerse yourself in the best-in-class institutional-grade technology, working alongside industry experts and gaining exposure to various asset classes, such as equities, options, fixed income securities, and advanced trading, research, and management technology.

Position purpose:

Broker dealer designated principal email review. Review firm email from across the firm.

Primary duties will include:

• Email and social media review and monitoring
• Other forms of electronic communication review
• This list of duties and responsibilities is not intended to be all-inclusive and can be expanded to include other duties or responsibilities that management deems necessary.

To land this role you will need:

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

Education requirements:

• College degree or Industry Experience
• Series 7, 24 and 63

Working Environment

• 4 days per week onsite, 1 day per week remote
• Minor travel requirements

Hiring Salary Range $55,000 - $70,000. 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.