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Position Purpose:
- Plan and conduct branch examinations.
- Perform compliance duties as part of a compliance team.
Responsibilities:
- Conduct scheduled and unscheduled branch office inspections.
- Review branch operations, sales practices, and recordkeeping for compliance.
- Prepare examination reports outlining findings and recommendations.
Qualifications:
- Minimum 5 years of compliance experience in the financial services industry.
- Strong knowledge of FINRA, SEC, and other regulatory requirements.
- Excellent verbal and written communication skills.
The StoneX Group
StoneX Group connects clients to the global markets with a focus on innovation and world-class service. The company has approximately 4,300 employees across 80 offices and offers potential for progression and growth across its four business segments.