Head of Regulatory Operations

Overview

We Connect Clients to Markets

Innovative, future-focused and collaborative, StoneX Group Inc. (NASDAQ: SNEX) is a global financial services firm with an entrepreneurial culture and a passion for providing world-class services to our clients. A Fortune-100 company with a nearly 100-year track record, with 4,300 employees and over 400,000 retail and institutional clients from more than 40 offices spread across five continents, we connect clients to the global markets - focusing on innovation, human connection, and providing world-class products and services to all types of investors.

Today's global financial markets offer a world of opportunities. To trade. To invest. To manage risk. And to grow. We believe in connecting every company, every organisation, every trader, and every investor to every advantage they need to succeed in today's global markets ecosystem.

But that belief doesn't stop at our clients. We also believe in connecting every single one of our employees to every opportunity they need to succeed in their own careers, too. From an entrepreneurial culture to a collaborative environment working alongside highly skilled specialists, a career at StoneX also offers a world of opportunities. To invest in yourself. To achieve. And to grow.

Responsibilities

Job Purpose: The Head of Regulatory Operations is responsible for the implementation and maintenance of StoneX's regulatory reporting framework, ensuring the timely and accurate submission of reports to the relevant authorities, and subsequent reconciliations.

The role requires a strong understanding of regulatory requirements and the maintenance of robust working relationships with both external and internal stakeholders. Successful candidates will work closely with IT and Data teams to develop reporting solutions that keep pace with the continued high rate of change in the regulatory reporting space, and the wider StoneX business.

Primary Duties and Responsibilities:

• Develop expert knowledge in Regulatory requirements, processes and systems for a number of transactions and position based Regulatory reports.
• Provide oversight of the impact assessments done on these reports for new markets, new products, business reorganizations, system changes and new/changed regulations.
• Investigate, remediate and provide supervisory guidance on issues with these reports and develop control improvements.
• Improve current processes, procedures and reports including automation of manual processes.
• Contribute to strategic initiatives relating to these reports, for example strategic Technology developments.
• Work with Legal, Compliance, Technology, other Operations groups and various Business units to manage change programs and issue resolution for these reports.
• Act as a risk manager for the firm through ongoing assessment and awareness of the regulatory environment and the firm's adherence to its reporting obligations.
• Be flexible to contribute to other activities within the group where necessary.
• Liaison with external vendors and counterparts where required.
• Overview of daily submissions to ensure completeness and accuracy.
• Responsibility for implementing and maintaining reconciliation processes.
• Staying abreast of industry technology offerings regarding the regulatory operations sector.
• Log, track and update projects using JIRA.

Qualifications

To land this job you will need:

• Understanding of current regulatory reporting requirements under EMIR, MIFID, SFTR, REMIT and CFTC.
• Strong understanding of the compliance function and its interaction with operations.
• Solid market knowledge across a wide range of asset classes and the wider financial markets.
• Experience of implementing and maintaining new regulatory regimes.
• Analytical thinker with the ability to generate innovative ideas and translate strategy to execution.
• Ability to think strategically and contribute to department and division wide initiatives.
• Ability to learn quickly and adapt to new changes and new challenges.
• Accuracy and attention to detail.
• Effective project, organisation, and time management skills.
• Strong communication skills.

What will make you stand out:

• Advanced IT skills including complete proficiency in Microsoft applications and a good understanding of SQL, XML, and VBA.

Education:

• Educated to degree level.