Investment Advisory Compliance Associate

StoneX Group Inc.; Miami (FL); Sur place; USD 60 000 - 100 000; Plein temps

Résumé du poste

StoneX Group Inc. in Miami seeks a Junior Compliance Officer to support the retail business lines of StoneX Wealth Management and StoneX Group. You will communicate on COE/WSP matters, assist with policy drafting and performance reporting, and help ensure company-wide compliance.

The role requires a Bachelor’s degree or equivalent experience, 2 years in compliance, and strong MS Excel/Power BI skills. A collaborative, detail-oriented approach is essential in a fast-paced environment.

Qualifications

• Bachelor's degree or equivalent financial industry or related compliance experience required.
• 2 years of previous compliance or related industry experience preferred.
• Strong knowledge of the investment advisory business, including basic custody and trading operations, systems and interfaces, account set up, billing and performance reporting.
• Knowledgeable in the Investment Advisers Act of 1940, as well as rules promulgated pursuant to the Act.
• Ability to apply industry specific knowledge, related to existing, proposed and new regulations, to current situations and to assist, as needed, in the development of appropriate policies and procedures.
• Knowledge of Independent RIA and broker dealer model.
• Strong analytical and problem-solving skills.
• Strong communication skills, both written and verbal.
• High level technical skills including strong-to-expert level knowledge of MS Excel, MS Access, and/or Power BI.
• Previous experience with custodial/clearing and TAMP systems including Envestnet and Advyzon preferred.
• Strong time management skills and an ability to multi-task in a dynamic and time-sensitive environment.
• Ability to develop positive and productive relationships with business line partners.
• Ability to lead/direct others and delegate where appropriate in a professional and ethical manner.

Responsabilités

• Provide guidance and support to employees of StoneX RIA companies related to the Code of Ethics (COE) and Written Supervisory Policies (WSP), as well as related regulatory issues.
• Assist the CCO in the coordination of the annual 206(4)-7 review, including aiding in drafting new or changing policies and procedures.
• Perform certain recurring reporting routines that support the advisory compliance efforts including the review of systems reports, rules and outputs to ensure compliance and ensure supervision needs are addressed.
• Review supervisory activities with respect to advisory programs to ensure compliance with established guidelines.
• Assist in drafting, reviewing and preparing the firm's Disclosure Brochure(s) (Form ADV 2A).
• Assist in the review and approval of marketing materials and internal communications, as necessary.
• Research and respond to regulatory requests as necessary.
• Participate in other compliance initiatives on behalf of StoneX, as may be assigned.
• Perform other duties relating to StoneX business, as may be assigned.
• Support StoneX Securities Inc., a registered broker dealer, as needed.

Connaissances

Analytical skills

Communication

Time management

Leadership

Regulatory knowledge

Formation

Bachelor's degree

Outils

MS Excel

MS Access

Power BI

Envestnet

Advyzon

Description du poste

StoneX Group Inc. in Miami seeks a Junior Compliance Officer to support the retail business lines of StoneX Wealth Management and StoneX Group. You will communicate on COE/WSP matters, assist with policy drafting and performance reporting, and help ensure company-wide compliance.

The role requires a Bachelor’s degree or equivalent experience, 2 years in compliance, and strong MS Excel/Power BI skills. A collaborative, detail-oriented approach is essential in a fast-paced environment.