Compliance Associate

Overview

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.

Business Segment Overview:

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.

Job Purpose:

To support the continuing development of this highly successful business. This is a post entry-level role. The role will sit within the Risk Review division of the Compliance department and will focus on delivering Compliance risk reviews as well as assisting with the ongoing monitoring tasks across the Firm’s various business lines. Has technical knowledge of applicable rules and regulations as they apply to the covered business.

Responsibilities

Primary Duties:

• Conduct Compliance risk reviews in order to identify, evaluate, and mitigate potential risks that arise from failing to adhere to regulation, standards, and internal policies.
• Track the implementation of remediation points arising from risk reviews and ensure completion by stakeholders.
• Maintenance of Compliance Department’s policies and procedures.
• Analysis and interpretation of relevant laws and regulations, including identifying changes to these that could affect the business.
• Producing and presenting MI reports for senior management committees and on Compliance activities.
• Assist in the completion of ongoing tasks that sit within the team’s Compliance Monitoring Programme (“CMP”).
• Perform “deep dive” complex ad hoc monitoring tasks that require technical expertise.
• Assist with investigating and resolving ad hoc queries from regulators, exchanges and other areas of the business.
• Engage and participate in industry bodies and/or working groups.
• Conduct Compliance Inductions to new employees.

Qualifications

To Land This Role You Will Need:

• 2 years’ relevant experience.
• Working knowledge of applicable regulations e.g. MiFID II, CASS.
• Working knowledge of FCA handbook.
• Good knowledge of products and markets that SFL is active in:
• Wholesale Products – Agricultural, Dairy, Energy, LME, FX and Precious Metals;
• Exchanges – ICE, LME, Eurex and Euronext;
• Optional Retail Products – CFDs/Spread Betting/FX.

Qualifications and Certifications:

Essential:

• Fluency in business English.

Preferred:

• University degree/Professional Compliance Qualification.

What Makes You Stand Out:

• Effective planning, organisation, and time management skills.
• Ability to work accurately, thoroughly, reliably and with strong attention to detail.
• Ability to forge relationships with key stakeholders and front office desks, mitigate conflict.
• Ability to communicate at all levels of the Firm.
• Strong analytical abilities, able to conduct “forensic” reviews and possess commercial awareness.
• Team player.
• Ability to work independently and prioritise multiple tasks.
• Good relationship building and communications skills (written and oral).
• Computer competency, including Microsoft Outlook/Word/Excel.

Permanent, full-time, hybrid.

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