Compliance Analyst

StoneX Group Inc. is a Fortune 100, Nasdaq-listed provider that connects clients to global markets. The Compliance Analyst will support regulatory functions, liaising with various departments to ensure compliance with CFTC, NFA, and futures exchanges regulations.

Responsibilities

• Serve as the central point of contact for requests for information from regulatory authorities, including the CFTC, NFA, and futures exchanges
• Apply critical thinking to draft productions to ensure responses are complete and accurate, follow up with SMEs as necessary, issue spot and escalate relevant details to management based on the nature of the inquiry
• Maintain an organized, centralized log of regulatory requests, open examinations, and other obligations of the Firm, including the request number, the request due date, and other relevant details
• Maintain organized, centralized files for each request, examination, and other obligations of the Firm for ease of access and referral, accessible by both your immediate team, Legal, and management
• Manage requests through their lifecycle ensuring that delays are sufficiently mitigated
• Timely remediation of regulatory findings and risks with relevant departments within the organization

Skills

• Experience in a compliance, regulatory, or related financial industry profession. Suitable education may be substituted for experience
• Familiarity with industry rules, regulations, and market structure (e.g., CFTC, NFA, CME, and ICE)
• Analytical and detail-oriented with the ability to interpret rules and regulations and practically apply them to relevant inquiries
• Able to work on multiple projects and assignments at the same time and prioritize appropriately to meet deadlines
• Strong written and oral communication skills. Able to succinctly communicate complex concepts in an easy-to-understand manner
• Build and maintain good working relationships with internal contacts
• High proficiency with desktop applications and MS Office suite of products, including Excel
• Strong ability to learn new concepts and systems integral to the Firm's operations
• Bachelor's Degree required (suitable experience may be substituted for formal education)
• A major in financial area such as Finance, Accounting, Economics, or Business Administration preferred

Benefits

• Full range of medical, financial, and/or other benefits

Company Overview

Company H1B Sponsorship