Trade Compliance Analyst/Associate

Fixed Term months, full-time, hybrid.

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.

At StoneX, we offer you the opportunity to be part of an institutional-grade financial services network that connects companies, organizations, and investors to the global markets ecosystem. As a team member, you'll benefit from our unique blend of digital platforms, comprehensive clearing and execution services, personalized high-touch support, and deep industry expertise. Elevate your career with us and make a significant impact in the world of global finance.

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.

Position Purpose:  To support the continuing development of this highly successful business, the individual will support the compliance department with its surveillance responsibilities. This role will sit within the Central Surveillance division of the Compliance department and will focus on providing support and monitoring across the Firm's various business lines. 

Primary duties will include:

• Processing of all surveillance related tasks, including alerts for both trade and communications, personal account trading requests and production of management information.
• Assist the Team with monitoring of key regulatory developments.
• Assist senior members of the team with offering compliance advice and guidance to other business units as required. 
• Preparing management information (MI) for surveillance processes.
• Assist in the implementation of suitable compliance controls to new business initiatives and new products
• Processing the Team's shared mailbox.
• Assist the Team with completion of "deep dive" ad hoc monitoring tasks.
• Completion of ongoing tasks that sit within the team's Compliance Monitoring Program ("CMP")
• Assist with investigating and resolving ad hoc queries from regulators, exchanges and other areas of the business
• Assist in the administration of compliance policies and procedures.
• Support new business initiatives e.g. new products/jurisdictions, acquisitions.
• Assist in training and coaching junior members of the team, such as apprentices, interns, work experience individuals and graduates.
• Conducting Compliance Inductions to new employees.
• Provide training to the business, as required.

To land this role you will need:

• Fluency in business English.
• Effective planning, good organisation and time management skills.
• Ability to work accurately, thoroughly, reliably and with strong attention to detail.
• Strong analytical skills and assist with "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.

What makes you stand out:

• Basic knowledge of FCA handbook.
• Basic knowledge of exchange traded products or Foreign Exchange.

Education / Certification Requirements: 

• University degree/Professional Compliance Qualification – professional qualifications may be required to be attained if not already held.

Working environment:

• Hybrid - private parking for employees.
• FTE (UoP).

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