Overview
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. Responsibilities
Position Purpose: To support the continuing development of this highly successful business. Reports directly to the Deputy Head of the Wholesale Compliance Division. Has extensive technical knowledge of applicable rules and regulations as they apply to the covered business. Capable of interacting with senior management. Provides day-to-day regulatory advice on application and implementation of rules. The individual will play a key role in the Compliance function, building and strengthening the existing OTC framework, monitoring regulatory developments and advising the business on Compliance matters. Primary duties will include: Being the subject matter expert (“SME”) on OTC commodity derivatives Analysis and interpretation of relevant laws and regulations, including identifying changes to these that could affect the business Offering advice and guidance to other business units as required Monitoring key regulatory developments/horizon scanning Implementation of new regulations and other projects Implementation of suitable compliance controls to new business initiatives and new products Continually monitor and enhance existing compliance controls Perform “deep dive” ad hoc monitoring tasks as outlined within the Firm’s Compliance Monitoring Programme (“CMP”) Review and approve financial promotions, where applicable Provide training to the business, as required Investigation and resolution of ad hoc queries from regulators, exchanges and other areas of the business Ensure that the Firm’s compliance policies and procedures remain up to date This list of duties and responsibilities is not intended to be all-inclusive and can be expanded to include other duties or responsibilities that management deems necessary. Qualifications
To land this role you will need: At least five years’ relevant experience Expert knowledge of OTC derivatives Strong knowledge of applicable regulations e.g. MiFID II, CASS Strong working knowledge of FCA handbook Effective planning, organisation and time management skills Ability to work accurately, thoroughly, reliably and with strong attention to detail Strong analytical and communication skills (written and oral) Commercial awareness Team player Ability to work independently and prioritise multiple tasks Ability to build strong relationships across departments Computer competency, including Microsoft Outlook/Word/Excel What makes you stand out: Professional Compliance Qualification(s) Education / Certification Requirements: University degree Fluency in business English Permanent, full-time, hybrid #LI-Hybrid #LI-SD1
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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. Responsibilities
Position Purpose: To support the continuing development of this highly successful business. Reports directly to the Deputy Head of the Wholesale Compliance Division. Has extensive technical knowledge of applicable rules and regulations as they apply to the covered business. Capable of interacting with senior management. Provides day-to-day regulatory advice on application and implementation of rules. The individual will play a key role in the Compliance function, building and strengthening the existing OTC framework, monitoring regulatory developments and advising the business on Compliance matters. Primary duties will include: Being the subject matter expert (“SME”) on OTC commodity derivatives Analysis and interpretation of relevant laws and regulations, including identifying changes to these that could affect the business Offering advice and guidance to other business units as required Monitoring key regulatory developments/horizon scanning Implementation of new regulations and other projects Implementation of suitable compliance controls to new business initiatives and new products Continually monitor and enhance existing compliance controls Perform “deep dive” ad hoc monitoring tasks as outlined within the Firm’s Compliance Monitoring Programme (“CMP”) Review and approve financial promotions, where applicable Provide training to the business, as required Investigation and resolution of ad hoc queries from regulators, exchanges and other areas of the business Ensure that the Firm’s compliance policies and procedures remain up to date This list of duties and responsibilities is not intended to be all-inclusive and can be expanded to include other duties or responsibilities that management deems necessary. Qualifications
To land this role you will need: At least five years’ relevant experience Expert knowledge of OTC derivatives Strong knowledge of applicable regulations e.g. MiFID II, CASS Strong working knowledge of FCA handbook Effective planning, organisation and time management skills Ability to work accurately, thoroughly, reliably and with strong attention to detail Strong analytical and communication skills (written and oral) Commercial awareness Team player Ability to work independently and prioritise multiple tasks Ability to build strong relationships across departments Computer competency, including Microsoft Outlook/Word/Excel What makes you stand out: Professional Compliance Qualification(s) Education / Certification Requirements: University degree Fluency in business English Permanent, full-time, hybrid #LI-Hybrid #LI-SD1
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