Designated Principal

StoneX Group•Mountain Brook, AL

12d•Onsite

About The Position

Connecting clients to markets – and talent to opportunity. With 5,400+ employees and over 80,000 institutional, commercial, and payments clients, we operate from more than 80 offices spread across six continents. As a Fortune 100, Nasdaq-listed provider, we connect 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, StoneX Group is made up of four business segments that offer endless potential for progression and growth. Business Segment Overview Institutional: Immerse yourself in the best-in-class institutional-grade technology, working alongside industry experts and gaining exposure to various asset classes, such as equities, options, fixed income securities, and advanced trading, research, and management technology. Position Purpose: Broker dealer general principal manages the day-to-day activity and approval of new accounts, trading, advisory accounts, marketing materials, etc.

Requirements

2 years of experience in broker dealer supervision
Email surveillance experience
Experience with Global Relay, Excel, Prosurv, Comply, Envestnet and other supervisory tools
Good communication skills
College degree or Industry Experience
Series 7, 24 and 63

Responsibilities

Approve new customer accounts, trades and financial plans
Handle review and approval for advisory account
Review and approve marketing, private securities transactions, gifts, political donation
Outside business activities and outside brokerage accounts
Email and social media review and monitoring
Other forms of electronic communication review