StoneX is establishing and implementing a Security Based Swap Dealer (“SBSD”) program within their current institutional broker dealer, StoneX Financial Inc. (SFI). The Firm seeks a seasoned compliance officer that has prior securities and swap dealer experience.
Requirements
- Serve as the leader in all aspects of compliance associated with the SBSD and partner with various business units to aid in achieving their objectives post approval and implementation.
- Work closely with management and members of the SFI compliance team and other functional areas across the firm ensuring an appropriate compliance framework to meet the firm’s compliance and regulatory obligations.
- Responsible for identifying areas of compliance improvement, strategize solutions to improve areas as identified and work towards the end goal of ensuring compliance with applicable rules and regulations.
- Daily oversight of the compliance program ensuring effectiveness and timely completion of tasks
- Responsible for ensuring adequate policies and procedures are in place for all SBSD activities
- Identity and resolve any conflicts of interest that may arise
- Responsible for the administration of the SBSD compliance training program
- Serve as a lead compliance coordinator for regulatory requests and examinations (SEC/FINRA)
- Assist Management with strategic projects and initiatives
- Collaborate with other departments (e.g., Risk Management, Internal Audit, Human Resources, etc.) to direct compliance issues to appropriate existing channels for investigation and resolution.
- Consults with Corporate Counsel as needed to resolve difficult legal/compliance issues
- Serve as the lead point of contact for internal inquiries from other teams and business units
- Identify potential areas of compliance vulnerability and risk; develop and/or implement corrective action plans/controls for resolution and sustained compliance in the future
- Provide compliance support for new product, sales and technical initiatives
Benefits
- Full range of medical, financial, and/or other benefits, dependent on the position
- Incentive compensation plan
- 401k Matching
