Branch Inspections Compliance Analyst

StoneX Group-posted 3 months ago
$75,000 - $115,000/Yr
Full-time • Mid Level
Birmingham, AL
1,001-5,000 employees
Securities, Commodity Contracts, and Other Financial Investments and Related Activities
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The StoneX Group is a Fortune-100, Nasdaq-listed provider that connects clients to global markets, focusing on innovation and human connection. The position involves planning and conducting branch examinations and performing compliance duties as part of a compliance team. The role is critical in ensuring that the company's operations align with regulatory requirements and best practices.

  • Conduct scheduled and unscheduled branch office inspections across all registered and non-registered office locations, for multiple StoneX broker dealers and RIAs, both onsite and remote.
  • Review branch operations, sales practices, supervisory procedures, and recordkeeping for compliance with FINRA, SEC, and other applicable regulations.
  • Properly document findings, recommendations, and required corrective actions.
  • Prepare detailed examination reports outlining findings, recommendations, and required corrective actions.
  • Assist in the development and ongoing maintenance of comprehensive Written Supervisory Procedures (WSPs).
  • Conduct assigned supervisory control testing and document results.
  • Interpret and apply relevant securities laws and regulations related to the role's responsibilities.
  • Provide guidance, education, and training to firm employees, representatives, and business units on regulatory changes, compliance matters, internal policies, and industry best practices.
  • Support responses to regulatory inquiries, examinations, and investigations as needed.
  • Foster collaborative and professional relationships with business partners.
  • Participate in compliance-related and cross-functional projects as assigned.
  • Perform other duties and responsibilities as assigned by management.
  • Minimum of 5 years of experience in a compliance-related role within the financial services industry.
  • Strong knowledge of FINRA, SEC, and other regulatory requirements.
  • Demonstrated analytical, problem-solving, and investigative skills.
  • Strong leadership capabilities and sound decision-making judgment.
  • Excellent verbal and written communication skills.
  • Proficiency in Microsoft Office Suite, particularly Excel.
  • Ability to build and maintain positive, productive relationships across departments and with external stakeholders.
  • Broad understanding of broker-dealer operations and applicable regulatory frameworks.
  • Must uphold and model a high standard of professionalism and ethical conduct.
  • Prior experience conducting branch audits or examinations preferred.
  • Full range of medical benefits.
  • Financial benefits.
  • Incentive compensation plan eligibility based on business performance and management recommendations.
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