What are the responsibilities and job description for the Regulatory Operations Associate position at StoneX Group Inc.?
Overview
Connecting clients to markets – and talent to opportunity.
With 4,500 employees and over 300,000 commercial, institutional, payments, and retail clients, we operate from more than 70 offices spread across six continents. As a Fortune 100, Nasdaq-listed provider, we connect 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, StoneX Group is made up of four business segments that offer endless potential for progression and growth.
Responsibilities
Qualifications
Required:
Connecting clients to markets – and talent to opportunity.
With 4,500 employees and over 300,000 commercial, institutional, payments, and retail clients, we operate from more than 70 offices spread across six continents. As a Fortune 100, Nasdaq-listed provider, we connect 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, StoneX Group is made up of four business segments that offer endless potential for progression and growth.
Responsibilities
- Monitor and communicate trade reporting exceptions for various reporting requirements including, but not limited to, the following:
- CAT
- TRACE
- MSRB
- LOPR/AIC
- Blue Sheets
- CAIS
- LTIDs
- Identify, notify and action the firm’s Reg SHO items
- 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
Qualifications
Required:
- Effective communication skills – oral and written, with an emphasis on customer service
- Strong critical thinking and analytical skills with high attention to detail
- Adaptable to change in a highly regulated industry
- Proficiency in Microsoft Office 365 applications
- Ability to take direction, work independently and within a team environment
- Basic experience with database query building and/or SQL experience
- Bachelor’s degree in business, finance or related field or equivalent work experience
- SIE (Securities Industry Essentials) or ability to obtain within 2 months of employment (or already FINRA licensed)