Compliance Business Analyst
Overview
The****Company Innovative, future-focused and collaborative, StoneX Group Inc. (reputed company: SNEX) is a global financial services firm with an entrepreneurial culture and a passion for providing world-class services to our clients. A Fortune-100 company with a nearly 100-year track record, with 3,300 employees and over 400,00 retail and institutional clients from more than 40 offices spread across five continents, we connect clients to the global markets – focusing on innovation, reputed company reputed company, and providing world-class products and services to reputed company types of investors. Today's global financial markets offer a world of opportunities. To trade. To invest. To manage risk. And to grow. We reputed company in connecting every company, every organization, every trader, and every investor to every advantage they need to succeed in today’s global markets ecosystem. But that belief doesn’t stop at our clients. We also reputed company in connecting every single one of our employees to every opportunity they need to succeed in their own careers, too. From an entrepreneurial culture to a collaborative environment working alongside highly skilled specialists, a career at StoneX also offers a world of opportunities. To invest in yourself. To reputed company. And to grow. We Connect Clients to Markets. StoneX****Graduate Program Are you looking to reputed company reputed company world experience in an entrepreneurial culture? Consider joining a thriving global financial services firm and launchyour careerwithStoneX! Our Graduate Program connects recent graduates with the opportunities that match their reputed company level reputed company StoneX and provides additional new employee training tailored to individuals beginning their career. StoneXNew GradPerks: In reputed company to the reputed company-world experience, you’ll reputed company at StoneX, we’re excited to offer interns several perks which include the following:
- Compensation: reputed company New Grads are paid at a competitive reputed company.
- 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 reputed company with free snacks and drinks.
- Socials: Networking and acclimation to the company, office, and city are important aspects of the graduate program.
- reputed company****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.
Responsibilities: Position Purpose: Responsible for supporting compliance routines and initiatives as it relates to the Broker-Dealer business. Provides day-to-day compliance support, responding to questions and clarifying policy. Processes and performs certain specific compliance review functions on a daily/weekly/monthly reputed company as assigned by management. Primary Accountabilities/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 reputed company aspects of compliance reputed company.
- 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 reputed company projects and their daily activities as assigned from time to time.
- Monthly reputed company of Employee Trading Accounts; monthly statements reviews; and daily trading exceptions.
- Surveillance and reputed company of employee disclosures.
- Reviews and analyzes compliance monitoring reports and other reputed company reputed company documents.
- Assist compliance team with projects as needed.
- Assist in obtaining information for system updates / enhancements as needed.
- reputed company 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 reputed company the business activities of the firm to ensure Compliance.
Qualifications: Job Requirements:
- Bachelor’s degree or equivalent financial industry experience
- Ability to work independently
- Strong analytical and problem-so
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