Compliance Analyst, Surveillance

Overview

Connecting clients to markets - and talent to opportunity.

With more than 4,500 employees and 400,000 retail and institutional clients from over 80 offices across five continents, we are a Fortune-100, Nasdaq-listed provider, focusing on innovation, human connection, and delivering 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 immerse yourself in the world of institutional investing, The StoneX Group consists of four segments that offer endless potential for progression and growth.

We engage in a variety of business-critical activities that keep our company running efficiently. From strategic marketing and financial management to human resources and operational oversight, you will have the opportunity to optimize processes and implement impactful policies.

Job Purpose:

To support the continuing development of this highly successful business, the individual will assist the Compliance department with its surveillance responsibilities. This role will be part of the Central Surveillance Team and will focus on providing support and monitoring across the Firm's various business lines.

Responsibilities

• Processing trade and communications surveillance alerts to identify potential compliance risks.
• Participating in testing of new calibration or systems related to surveillance processes.
• Facilitating employee compliance controls, including approving personal account trades and outside business activities, regular attestations, personal account trading surveillance, etc.
• Preparing management information (MI) for surveillance processes.
• Assisting in preparing information for regulatory and exchange inquiries.
• Participating in and representing the team in various meetings and training sessions.
• Managing the Team's shared mailbox.
• Assisting the Team with the completion of deep dive reviews.
• Completing ongoing tasks within the team's Compliance Monitoring Programme.
• Assisting in the administration of compliance policies and procedures related to surveillance.
• Supporting new business initiatives, such as new products/jurisdictions and acquisitions.
• Conducting Compliance Inductions for new employees.
• Performing other ad hoc tasks to support the work of the Compliance Department.

Qualifications

To land this role you will need:

Knowledge and Experience

Preferred:

• Basic knowledge of FCA handbook.
• Basic knowledge of exchange traded products.
• Basic knowledge of capital markets.

Qualifications

Essential:

• Fluency in business English.

Preferred:

• University degree/Professional Compliance Qualification.
• CISI Rules & Regulation Paper (if not already held, it will need to be passed as part of the onboarding for the role).

Soft Skills:

• Effective planning, good organization, and time management skills.
• Ability to work accurately, thoroughly, reliably, and with strong attention to detail.
• Strong analytical skills and ability to assist with "forensic" reviews.
• Commercial awareness.
• Team player.
• Ability to work independently and prioritize multiple tasks.
• Good relationship-building and communication skills (written and oral).
• Computer competency, including Microsoft Outlook/Word/Excel.

Permanent, full-time, hybrid.