Deputy Chief Compliance Officer – Wealth & Brokerage

StoneX Group Inc.; Winter Park (FL); On-site; USD 120,000 - 170,000; Full time

Benefits offered by this job

Incentive compensation plan

Medical benefits

Professional development

Job summary

StoneX Group Inc. in Winter Park, FL, seeks a Deputy Chief Compliance Officer to lead compliance across broker-dealer and investment advisory operations.

You will design, implement, and oversee programs, coordinating reviews and regulatory submissions while guiding a team in a fast-paced, regulated environment. The ideal candidate brings extensive regulatory knowledge, strong communication, and advanced Excel skills.

Qualifications

• Bachelor’s degree or equivalent industry experience required
• FINRA Series 7 and Series 24, Series 65 or 66 required
• Minimum of 5 years of compliance or related financial services experience preferred
• Strong knowledge of broker-dealer and investment adviser operations, including: Trading and custody processes; Account onboarding and maintenance; Billing and performance reporting systems
• Working knowledge of the Investment Advisers Act of 1940 and related rules
• Ability to interpret and apply regulatory requirements to business practices and assist in developing compliant policies and procedures
• Strong analytical, problem-solving, and organizational skills
• Excellent written and verbal communication skills
• Advanced proficiency in Microsoft Excel (Access or other data tools a plus)
• Demonstrated ability to manage multiple priorities and meet deadlines
• Proven ability to build effective working relationships across business lines
• Leadership skills with the ability to delegate, guide, and mentor others in a professional and ethical manner

Responsibilities

• Provide guidance to employees on compliance with the Code of Ethics (COE), Written Supervisory Procedures (WSPs), and applicable regulatory requirements
• Assist the CCO in coordinating and executing annual compliance reviews, including FINRA Rule 3120 and Advisers Act Rule 206(4)-7 reviews
• Perform recurring compliance monitoring and reporting functions, including review of surveillance reports, exception reporting, and supervisory controls
• Review supervisory activities related to advisory programs to ensure adherence to internal policies and regulatory standards
• Assist in drafting, reviewing, and maintaining regulatory disclosures, including Form CRS and Form ADV (Part 2 and Part 3)
• Prepare and file regulatory submissions for RIA entities and affiliated firms, including Forms ADV (1A), ADV-E, 13F, NP-X, 13H, and other required filings
• Review and approve marketing materials and internal communications for regulatory compliance, as needed
• Conduct regulatory research and assist in preparing responses to regulatory inquiries, audits, and examinations
• Assess and evaluate daily operations and implement automation where appropriate to streamline operating functions. Collaborate with cross functional compliance, AML and supervision teams to support daily initiatives
• Supervise staff that supports both investment advisory and broker dealer compliance initiatives
• Perform additional duties as required to support the compliance function and broader business needs

Skills

Communication

Writing

Analytical skills

Excel proficiency

Education

Bachelor’s degree or equivalent

Tools

Microsoft Excel

Job description

StoneX Group Inc. in Winter Park, FL, seeks a Deputy Chief Compliance Officer to lead compliance across broker-dealer and investment advisory operations.

You will design, implement, and oversee programs, coordinating reviews and regulatory submissions while guiding a team in a fast-paced, regulated environment. The ideal candidate brings extensive regulatory knowledge, strong communication, and advanced Excel skills.