Compliance Business Analyst at StoneX Group Inc. in US-FL-Winter Park

Summary: StoneX Group Inc. is a global financial services firm known for its innovative and collaborative culture. The Compliance Business Analyst will support compliance routines and initiatives within the Broker-Dealer business, providing day-to-day compliance support and monitoring employee activities to ensure adherence to policies and regulations. Responsibilities: - Monitors employee activities to ensure the firm remains in compliance with its policies and procedures as well as industry regulations - Participates in the development and maintenance of comprehensive Written Supervisory Procedures relative to all aspects of compliance matters - Assist with monitor employee trading and reporting. Administers compliance system for Gifts, Employee Brokerage Accounts, Electronic feeds, Attestations, etc - Coordinates and participates in specific compliance related projects and their daily activities as assigned from time to time - Monthly oversight of Employee Trading Accounts; monthly statements reviews; and daily trading exceptions - Surveillance and oversight of employee disclosures - Reviews and analyzes compliance monitoring reports and other related source documents - Assist compliance team with projects as needed - Assist in obtaining information for system updates / enhancements as needed - Develop positive relationships with business line partners - Assists in the creation and distribution of Employee and Supervisory Training Sessions - Researches, and reports new rules and regulations and how they affect the business activities of the firm to ensure Compliance Required Qualifications: - Bachelor's degree or equivalent financial industry experience - Ability to work independently - Strong analytical and problem-solving skills - Excellent written and verbal communication skills - Strong research/investigative skills - Proficient in MS Office products with focus on Excel - Able to develop positive and productive relationships with business line partners (sales, support and management) - Ability to effectively prioritize and multi-task in a fast-paced environment - FINRA Series 7, 24 and 63 or 66 and other licenses as may be required according to specific position responsibilities Required Skills: Compliance monitoring, Written Supervisory Procedures, Employee trading monitoring, Compliance system administration, MS Excel, FINRA Series 7, FINRA Series 24, FINRA Series 63, FINRA Series 66 Benefits: Compensation: All New Grads are paid at a competitive rate., Hybrid Model: StoneX works on a hybrid model with the flexibility to work from home and in one of our fully equipped offices around the globe. In office days are made better with free snacks and drinks., Socials: Networking and acclimation to the company, office, and city are important aspects of the graduate program., Access to Senior Leaders: Senior leaders are involved in the graduate program delivering trainings, presenting on firm business, and even attending socials., Training: Virtual and in-person trainings to learn about the firm and how we do business. As well as getting new grads onboarded and connected with the company globally., This compensation package, in addition to a full range of medical, financial, and/or other benefits, dependent on the position, is offered.