Assistant Vice President - Capital Markets Compliance

Overview

Permanent, full time onsite

Connecting clients to markets and talent to opportunity

With 4,300 employees and over 400,000 retail and institutional clients from more than 80 offices spread across five continents, we’re a Fortune-100, Nasdaq-listed provider, connecting 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, The StoneX Group is made up of four segments that offer endless potential for progression and growth

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.

Corporate : Engage in a deep variety of business-critical activities that keep our company running efficiently. From strategic marketing and financial management to human resources and operational oversight, you’ll have the opportunity to optimize processes and implement game-changing policies.

Responsibilities

Position Purpose : .

The primary responsibilities include monitoring the firm's fixed income activities and supporting the Fixed Income Division.

This role requires strong communication and superior writing skills, as well as the ability to manage multiple tasks in a dynamic environment.

The candidate will be responsible for helping to author and maintain Written Supervisory Procedures (WSPs) to ensure compliance with fixed income rules and regulations.

A solid understanding or a willingness to learn the applicable rules, regulations, and associated guidance is essential.

Primary Accountabilities / Responsibilities :

• Interpret SEC, FINRA, MSRB and self-regulatory organization rules and guidance to ensure the Firm policies and procedures comply with appropriate laws and regulations
• Conduct fixed income control testing to identify compliance issues and control deficiencies ensuring timely resolution and adherence to standards.
• Administer the Fixed Income Best Execution Committee quarterly meetings
• Identify areas of improvement or efficiencies in the Firm’s TRACE reporting process and work with stakeholders to implement enhancements.
• Lead working groups to coordinate with necessary stakeholders to address rule changes.
• Works with senior management to ensure that appropriate supervisory processes and controls are established and documented within the areas of responsibility.
• Primary role in the Firm’s monitoring and evaluation of Firm’s 15c3-5 (Market Access) controls.
• Collaborate with outside consultants to thoroughly document 15c3-5 controls testing.
• Engage in proactive surveillance activities to detect and resolve potential compliance issues.
• Key focus on reviewing current processes and identify opportunities for efficiencies and automation.
• Work to further integrate third-party fixed income surveillance systems,
• Take leadership role lead on various compliance projects such as rule changes.
• Assist in the monthly Principals meetings
• Create and maintain Standard Operating Procedures (SOP) in areas of responsibility.
• Develop subject matter expertise in specific fixed income rules (Best Execution, TRACE, and Mark Up / Down) and regulations.
• Develop training material focused on fixed income sales and trading rules and regulations,
• Ensure assigned written procedure sections are appropriately documented and referenced in the Firm’s compliance manuals and written supervisory procedures.
• Coordinate with internal stakeholders to provide requested data or information in response to regulatory exams and inquiries.

Qualifications

Job Requirements :

• Bachelor’s degree in Finance, Accounting or other related field, preferred
• SIE, Series 7, Series 63 and Series 24
• Highly organized with great attention to detail
• Proven communication, analytical and project management skills
• Ability to reach sound judgments and act quickly under tight deadlines
• Experience in dealing with senior compliance and regulatory staff at the various exchanges and regulatory agencies
• Participant in industry, regulatory and exchange panels, organizations, and committees

Classification : Full-time, Exempt

Travel : 10-15%

LI-SD1 #LI-OnSite

Must be authrized to work in the US for any employer.

Hiring Salary Range $115,000- $135,000 (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.