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- Tasks: Support Central Compliance with trade surveillance, policy management, and training coordination.
- Company: Join a Fortune 100 company connecting clients to global markets.
- Benefits: Competitive salary, professional development, and a dynamic work environment.
- Other info: Exciting opportunity for career growth in a global firm.
- Why this job: Make a real impact on compliance and help shape the future of the business.
- Qualifications: Strong organisational skills and a keen interest in compliance processes.
The predicted salary is between 50000 - 60000 £ per year.
Connecting clients to markets – and talent to opportunity. With 5,400+ employees and over 80,000 institutional, commercial, and payments clients, we operate from more than 80 offices across six continents. As a Fortune 100, Nasdaq-listed provider, we connect clients to the global markets, focusing on innovation, human connection, and providing world‑class products and services to all types of investors.
To support the continuing development of this highly successful business. Reporting directly to the Director of Central Compliance, this role provides support across all areas of Central Compliance, including trade surveillance, communications surveillance, policies, training, Control Room, Employee Compliance, Exchange Enquiries & Entity Servicing. The aim of the role is to help establish and roll out the function to improve the firm’s overall Compliance programme.
Responsibilities include:
- Help prepare meetings, agendas and minutes for Central Compliance functions.
- Assist in relationship management with vendors.
- Prepare and manage governance documentation, including management information, procedures, terms of reference, to ensure they are up to date, agreed and fit for purpose.
- Collate and organise training schedules and tracking.
- Map and coordinate policies across legal entities, ensuring consistent standards; draft and edit policies.
- Establish controls around inside information, including wall crossing, deal logging and restriction strategy.
- Coordinate the employee compliance programme, including controls around personal.
Compliance Supervisor - 9 months FTC in London employer: StoneX Group Inc.
Contact Detail:
StoneX Group Inc. Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Supervisor - 9 months FTC in London
✨Tip Number 1
Network like a pro! Reach out to people in the industry, attend events, and connect on LinkedIn. We all know that sometimes it’s not just what you know, but who you know that can land you that Compliance Supervisor role.
✨Tip Number 2
Prepare for interviews by researching the company and its compliance practices. We suggest you come armed with questions that show your interest in their processes and how you can contribute to improving their Compliance programme.
✨Tip Number 3
Showcase your skills through real-life examples. When discussing your experience, we recommend using the STAR method (Situation, Task, Action, Result) to clearly demonstrate how you've tackled compliance challenges in the past.
✨Tip Number 4
Don’t forget to apply through our website! It’s the best way to ensure your application gets noticed. Plus, we love seeing candidates who are proactive about their job search!
We think you need these skills to ace Compliance Supervisor - 9 months FTC in London
Some tips for your application 🫡
Tailor Your CV: Make sure your CV is tailored to the Compliance Supervisor role. Highlight relevant experience in compliance, project management, and any specific skills that match the job description. We want to see how you can contribute to our team!
Craft a Compelling Cover Letter: Your cover letter is your chance to shine! Use it to explain why you're passionate about compliance and how your background aligns with our goals. Keep it concise but engaging – we love a good story!
Showcase Your Skills: Don’t forget to showcase your skills in trade surveillance, policy drafting, and relationship management. Use specific examples from your past roles to demonstrate how you've successfully handled similar responsibilities. We’re all about real-world experience!
Apply Through Our Website: We encourage you to apply through our website for a smoother application process. It’s super easy and ensures your application gets to the right people. Plus, you’ll get to explore more about us while you’re at it!
How to prepare for a job interview at StoneX Group Inc.
✨Know Your Compliance Stuff
Make sure you brush up on the latest compliance regulations and practices. Familiarise yourself with trade surveillance, communications surveillance, and the specific policies relevant to the role. This will show that you're not just interested in the job, but that you understand the industry.
✨Prepare for Scenario Questions
Expect questions that ask how you would handle specific compliance scenarios. Think about past experiences where you've had to manage risks or ensure adherence to policies. Prepare clear examples that highlight your problem-solving skills and attention to detail.
✨Showcase Your Project Management Skills
Since the role involves project work, be ready to discuss your experience in managing projects. Talk about how you've coordinated tasks, managed timelines, and ensured successful outcomes. Use specific examples to illustrate your ability to juggle multiple responsibilities effectively.
✨Ask Insightful Questions
At the end of the interview, have a few thoughtful questions prepared. Ask about the company's approach to compliance training or how they measure the success of their compliance programmes. This shows your genuine interest in the role and helps you gauge if it's the right fit for you.