Senior Compliance Leader: Broker-Dealer & Advisory

StoneX Group Inc.

Miami (FL)

On-site

USD 120,000 - 170,000

Full time

14 days+

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Benefits offered by this job

Medical benefits

Incentive compensation plan

Job summary

StoneX Group Inc. is hiring a Deputy Chief Compliance Officer to support the retail business lines of StoneX Wealth Management. The role designs, implements, and oversees compliance programs across broker-dealer and investment advisory operations.

Candidates should have strong communication, analytics, and Excel skills to manage multiple priorities in a highly regulated environment. The position requires FINRA licenses, 5+ years in compliance or financial services, and a solid understanding of

Qualifications

Bachelor’s degree or equivalent industry experience.
FINRA Series 7 and 24, Series 65 or 66 required.
Minimum of 5 years of compliance or related financial services experience.
Strong knowledge of broker-dealer and investment adviser operations.
Excellent written and verbal communication skills.
Advanced proficiency in Microsoft Excel.

Responsibilities

Provide guidance to employees on compliance with COE, WSPs, and regulatory requirements.
Coordinate and execute annual compliance reviews (FINRA 3120, Advisers Act 206(4)-7).
Perform recurring compliance monitoring and reporting functions with surveillance and exception reporting.
Review advisory program activities for regulatory compliance.
Prepare and file regulatory submissions (Forms ADV, etc.).
Review and approve marketing materials for regulatory compliance.