Regulatory Operations Associate

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Job description

Overview:
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.

Whether you want to forge a career connecting our retail clients to potential trading opportunities, or ingrain yourself in the world of institutional investing, The StoneX Group is made up of four segments that offer endless potential for progression and growth.

With boots on the ground authenticity at the heart of everything we do, our comprehensive array of commercial products and services enable you to work directly with our clients, across hedging, risk management, execution and clearing, OTC products, commodity finance and more.

Responsibilities:
The Associate will be expected to learn mulitple tasks within the Regulatory Operations group, focusing on KYC ('Know Your Customer') Refresh and related tasks. The expectations of the Associate are that he/she performs their duties with a high level of attention to detail and excellent customer service. The individual seeking this position would be successful by continually seeking to learn and grow in their understanding and not being afraid to ask questions.

Primary duties will include:

Monitor and communicate trade reporting exceptions for various reporting requirements including, but not limited to, the following:

CAT

TRACE

MSRB

LOPR

Blue Sheets

CAIS

Identify, notify and take action on the firm's Reg SHO items

Process various non-trade related reporting requirements including, but not limited to, the following:

KYC (Know Your Customer)

KYC Refresh

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:
To land this role you will need:

Some prior work experience in banking or securities related field preferred

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

Adaptable to change in a highly regulated industry

Education / Certification Requirements:

Bachelor's degree in business, finance or related field or equivalent work experience

SIE and Series 99 (or ability to obtain within 2 months of employment)

Working environment:

5 Days Onsite

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