Compliance Analyst

StoneX is an institutional-grade financial services network that connects companies, organisations, and investors to the global markets ecosystem through a unique blend of digital platforms, end-to-end clearing and execution services, high-touch service, and deep expertise. We provide access to multiple derivatives exchanges and foreign exchange markets, nearly every global securities marketplace and a number of bi-lateral liquidity venues. We deliver this access with support throughout the entire lifecycle of a trade – from consulting and “boots-on-the-ground” intelligence, to best execution, to post-trade clearing, custody and settlement.

StoneX Financial Ltd is a UK-based, FCA-authorised investment firm and a subsidiary of StoneX Group Inc., a Nasdaq-listed global financial services company. Headquartered in London, it provides institutional-grade services including execution, clearing, custody, payments, and access to global markets. StoneX Financial Ltd connects clients to the global financial ecosystem through robust digital platforms and maintains a strong governance and risk management culture.

Responsibilities

• Deliver the Compliance Monitoring Programme (CMP) on time, including completion of planned monitoring activities, escalation of identified exceptions, and tracking of agreed remedial actions through to closure.
• Assist with analysing and interpreting relevant laws and regulations, including identifying changes that could affect the business.
• Produce and present management information (MI) reports to senior management committees on Compliance activities.
• Support the maintenance of the Compliance department’s policies and procedures.
• Manage the team’s shared mailbox, including triage, allocation and timely responses.
• Support the design and implementation of appropriate compliance controls for new business initiatives and new products.
• Perform gap analyses and support risk reviews and other assurance activity, documenting findings and tracking agreed actions through to closure.
• Support complex, ad hoc “deep dive” monitoring tasks that require technical expertise.
• Support the use of appropriate automation and analytical tools (including AI, where approved) to improve the efficiency and consistency of monitoring and reporting processes.
• Maintain awareness of regulatory developments and relevant industry best practice and support assessment of impacts to the Firm’s monitoring approach.
• Support regulatory and exchange interactions, including coordinating responses and contributing to investigations and follow-up actions.
• Support the preparation and timely submission of regulatory filings, returns and related disclosures.
• Engage with relevant industry bodies and/or working groups, as required.
• Deliver Compliance induction training for new employees.
• Deliver ad hoc compliance training and guidance to the business, as required (e.g., on regulatory change, policies and controls).

Qualification Requirement:

As part of the role, you may be required to obtain a relevant professional qualification. Where applicable, this must be successfully completed within your probation period, with support provided by the company.

Qualifications

• Graduate level or up to two years’ relevant experience.
• Working knowledge of applicable regulations (e.g., MiFID II, CASS).
• Working knowledge of the FCA Handbook.
• Basic knowledge of products and markets in which StoneX Financial Ltd is active:
• Wholesale products: Agricultural, Dairy, Energy, LME, FX and Precious Metals.
• Exchanges: ICE, LME, Eurex and Euronext.
• Retail products (where relevant): CFDs, Spread Betting and FX.
• Payments and Cryptocurrencies.

Desired skills

• 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.
• 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.

Early Careers Requirement

• Recent graduate with Bachelor’s or Masters degree in relevant field.
• Must have full rights to work in UK.
• Hybrid working with minimum of 4 days in the office.