Junior Compliance Officer, Investment Advisory

StoneX Group Inc.; Birmingham (AL); On-site; USD 60,000 - 100,000; Full time

Benefits offered by this job

Incentive compensation plan

Medical benefits

Financial benefits

Job summary

StoneX Group Inc. in Birmingham, AL seeks a Junior Compliance Officer for Investment Advisor Services to support the retail lines. You will need strong MS Excel skills, clear writing, and the ability to manage multiple tasks in a fast-paced environment.

The role requires a Bachelor's degree in finance or related compliance field and about 2 years of experience. You will assist the CCO with policy drafting, regulatory requests, and review of marketing materials.

Qualifications

• Bachelor's degree or equivalent in finance or compliance.
• 2 years of compliance or related industry experience preferred.
• Strong knowledge of investment advisory and related regulations.

Responsibilities

• Provide guidance on Code of Ethics and policies; assist in annual reviews.
• Coordinate regulatory requests and maintain documentation.
• Review marketing materials and disclosures for compliance.
• Support advisory programs to ensure regulatory compliance.
• Assist in drafting policy procedures and client disclosures.

Skills

MS Excel

MS Access

Power BI

Regulatory knowledge

Written communication

Time management

Education

Bachelor's degree in finance/compliance

Tools

Envestnet

Advyzon

Job description

StoneX Group Inc. in Birmingham, AL seeks a Junior Compliance Officer for Investment Advisor Services to support the retail lines. You will need strong MS Excel skills, clear writing, and the ability to manage multiple tasks in a fast-paced environment.

The role requires a Bachelor's degree in finance or related compliance field and about 2 years of experience. You will assist the CCO with policy drafting, regulatory requests, and review of marketing materials.