Associate Compliance Officer - Investment Advisory

StoneX • Miami, FL

3d

About The Position

The Associate Compliance Officer supports the retail business lines of StoneX Wealth Management and StoneX Group. The role provides compliance guidance and support to employees of StoneX registered investment adviser (RIA) companies, helps coordinate the annual review under Rule 206(4)-7, and performs recurring reporting and supervisory reviews. It also contributes to disclosure documents, marketing-material reviews, regulatory responses, and other compliance initiatives. The position may provide support to StoneX Securities Inc., a registered broker-dealer, as needed.

Requirements

• Bachelor’s degree or equivalent financial-industry or related compliance experience.
• Knowledge of the investment advisory business, including basic custody and trading operations, systems and interfaces, account setup, billing, and performance reporting.
• Knowledge of the Investment Advisers Act of 1940 and rules promulgated under the Act.
• Ability to apply industry knowledge concerning existing, proposed, and new regulations to current situations and assist with developing appropriate policies and procedures.
• Knowledge of the independent RIA and broker-dealer model.
• Strong analytical and problem-solving skills.
• Strong written and verbal communication skills.
• High-level technical skills, including strong-to-expert knowledge of MS Excel, MS Access, and/or Power BI.
• Strong time-management skills and ability to manage multiple tasks in a dynamic, time-sensitive environment.
• Ability to develop positive and productive relationships with business-line partners.
• Ability to lead or direct others and delegate appropriately in a professional and ethical manner.

Nice To Haves

• Two years of previous compliance or related industry experience.
• Previous experience with custodial or clearing systems and TAMP systems, including Envestnet and Advyzon.

Responsibilities

• Provide guidance and support to employees of StoneX RIA companies on the Code of Ethics, Written Supervisory Policies, and related regulatory issues.
• Assist the Chief Compliance Officer in coordinating the annual 206(4)-7 review, including drafting new or revised policies and procedures.
• Perform recurring reporting routines, including reviewing systems reports, rules, and outputs to confirm compliance and address supervision needs.
• Review supervisory activities for advisory programs to ensure compliance with established guidelines.
• Assist in drafting, reviewing, and preparing the firm’s Form ADV Part 2A disclosure brochures.
• Assist with reviewing and approving marketing materials and internal communications as needed.
• Research and respond to regulatory requests as needed.
• Participate in other assigned StoneX compliance initiatives.
• Perform other duties related to StoneX business as assigned.
• Support StoneX Securities Inc., a registered broker-dealer, as needed.

Benefits

• A full range of medical, financial, and/or other benefits, depending on the position.
• The role may be eligible to participate in an incentive compensation plan, subject to business performance and management recommendations.

What This Job Offers

• Job Type: Full-time
• Career Level: Entry Level