Compliance Supervisor - FX Trade Surveillance

StoneX Group•Warren Township, NJ

4d•Hybrid

About The Position

The Compliance Supervisor will help establish and run a trade surveillance programme for StoneX’s global FX businesses. The role will lead the creation and ongoing operation of the FX surveillance programme, including defining coverage of retail FX products, identifying and onboarding data sources, designing risk-based alerts and review procedures, testing and tuning scenarios, and developing management information that demonstrates control, challenge, and oversight. The position also owns the FX surveillance roadmap across technology, coverage, and capability; processes surveillance tasks involving trade and communications alerts; monitors regulatory developments; and provides FX surveillance compliance guidance to other business units. The role supports compliance controls for new initiatives and products, thematic reviews of FX risks, regulatory and exchange inquiries, compliance policies and procedures, business initiatives, and training. The working arrangement is four days per week onsite and one day per week remote.

Requirements

Fluency in business English.
A university degree or professional compliance qualification; professional qualifications may need to be attained if not already held.
Effective planning, organization, and time-management skills.
Ability to work accurately, thoroughly, and reliably, with strong attention to detail.
Strong analytical skills and ability to assist with forensic reviews.
Commercial awareness.
Ability to work as part of a team and independently, and to prioritize multiple tasks.
Good relationship-building and written and oral communication skills.
Computer competency, including Microsoft Outlook, Word, and Excel.
Ability to get up to speed, absorb and evaluate information independently, and navigate the firm without extensive guidance.
Self-starting, curious, autonomous, and able to use available resources independently.
Ability to bring forward ideas and suggestions suited to the problem being addressed.
Ability to work in a team environment.
Must be authorized to work in the US for any employer.

Responsibilities

Lead the creation of an FX surveillance programme.
Define surveillance scope across retail FX products.
Identify and onboard required data sources, including data architecture and data quality controls.
Design scenario-based alerts tailored to retail FX risks.
Establish day-to-day alert review procedures.
Test, tune, and review the effectiveness of surveillance scenarios, including pre- and post-implementation testing.
Design management information that demonstrates control, challenge, and oversight, rather than just volumes.
Maintain regulator-ready documentation and support audit readiness and regulatory engagement.
Own the FX surveillance roadmap for technology, coverage, and capability.
Process FX surveillance tasks, including trade and communications alerts, and produce management information.
Assist the team with monitoring key regulatory developments.
Provide compliance advice and guidance on FX trade surveillance to other business units as required.
Assist in implementing suitable compliance controls for new business initiatives and products.
Conduct deep dives and thematic reviews of FX risks.
Assist with investigating and resolving ad hoc queries from regulators, exchanges, and other business areas relating to FX.
Assist in administering compliance policies and procedures.
Support new business initiatives, including new products, jurisdictions, and acquisitions.
Provide training to the business and team.