Operations Associate Level 1 (Regulatory Operations)

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.

Engage in a deep variety of business-critical activities that keep our company running efficiently. From strategic marketing and financial management to human resources and operational oversight, you’ll have the opportunity to optimize processes and implement game-changing policies.

Responsibilities

Primary duties will include

Trade Related

Monitoring and analyzing trade report 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

To land this role you will need

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

What makes you stand out

Some prior work experience in banking or securities related field preferred SQL experience preferred

Education / Certification Requirements

Bachelor’s degree in business, finance or related field or equivalent work experience SIE and Series 99, or equivalent (or ability to obtain within 60 day’s time)

Working environment

In-Office 5 Days