Overview

We are seeking an enthusiastic and adaptable individual to join us as a Regulatory Operations Associate. This role demands a proactive approach in a dynamic, fast-paced environment. The Associate will play a pivotal role in supporting team projects and tasks, including trade reporting, client account reviews, data cleaning, and other essential tasks critical to the success of StoneX.

Responsibilities

Trade Related:

• Monitor and analyze trade reporting exceptions for various reporting requirements including, but not limited to, the following:
  • CAT(Consolidated Audit Trail)
  • CAIS (Customer Account Information System)
  • TRACE
  • MSRB
  • LOPR(Large Option Reporting)
  • Blue Sheets
  • Identify, notify, and take action on the firm’s Reg SHO items

Non-Trade Related: 

• Process various "Know Your Customer (KYC)" related requirements 
• Maintain an understanding of team expectations and company policies
• Shared responsibility for team phone and e-mail coverage
• Keep management informed on any unusual requests and potential issues
• Maintain prompt and regular attendance
• 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

• Bachelor’s degree in business, finance or related field or equivalent work experience
• Some prior work experience in banking or securities related field preferred
• SQL experience preferred
• SIE and Series 99, or equivalent (or ability to obtain within 60 day’s time)
• Demonstrated enthusiasm and adaptability in a fast-paced environment
• Strong critical thinking and analytical skills with high attention to detail
• Excellent organizational and time management skills with the ability to multi-task
• Effective communication skills – oral and written, with an emphasis on customer service
• Proficiency in Microsoft Office applications including, but not limited to Outlook, Excel, Word and PowerPoint
• Ability to take direction, work independently, and within a team environment
• Adaptability to change in a highly regulated industry