VP - Compliance, Equity Capital Markets

StoneX Group • Newark, NJ

5d

About The Position

The successful candidate will bring a comprehensive understanding of equity capital markets rules and regulations, together with practical broker-dealer experience. The role is accountable for evaluating existing policies, procedures, and supervisory processes to confirm they satisfy regulatory requirements, and for designing and executing testing that evidences the effectiveness of the Firm’s compliance and supervisory controls. The position requires working knowledge of applicable SEC, FINRA, and self-regulatory organization rules, including requirements related to the Consolidated Audit Trail, short sales, market data and order handling, low-priced securities, best execution, and TRF and ORF reporting.

Requirements

• 7–15 years of experience in a broker-dealer compliance role.
• Demonstrated data-analysis experience, including working with large order and trade data sets, reconciling data across systems, and clearly presenting findings to compliance and business stakeholders.
• Ability to develop logic-based exception parameters and design, document, and execute testing that evidences the effectiveness of surveillance and supervisory controls.
• Experience with order management, execution, and trading systems, and proficiency with Bloomberg terminal functionality.
• Advanced Microsoft Excel skills, including pivot tables, lookup and reference functions, and manipulation and analysis of large data sets.
• Highly organized, with disciplined attention to detail and documentation of work performed.
• Proven communication, analytical, and project-management skills.
• Strong relationship-management and leadership skills, including demonstrated experience interacting with senior management.
• Ability to exercise sound judgment and act decisively under tight deadlines.
• Experience interacting with senior compliance and regulatory personnel at exchanges and regulatory agencies.
• Must be authorized to work in the United States for any employer.
• Willingness to participate in industry, regulatory, and exchange panels, organizations, and committees.

Nice To Haves

• Bachelor’s degree in Finance, Accounting, or a related field, preferred.
• Series 7 and Series 24, preferred.
• Working knowledge of SQL and Python is desirable; candidates without these skills must demonstrate aptitude and willingness to develop them.
• Spanish or Portuguese language skills are desirable.

Responsibilities

• Identify and interpret SEC, FINRA, and self-regulatory organization rules and regulations to confirm StoneX policies and procedures remain compliant across equity capital markets businesses.
• Review existing procedures for compliance with applicable laws, regulations, and industry guidance relating to equity capital markets.
• Escalate and communicate identified gaps to responsible teams, and confirm remediation is completed and sustainable controls are implemented.
• Partner with management at all levels to ensure appropriate supervisory processes and controls are established, documented, and evidenced.
• Regularly test StoneX systems, including reviewing technical specifications, data mappings, and system logic, to confirm they operate as intended and meet applicable regulatory requirements.
• Test existing supervisory reviews and surveillance-team monitoring and review processes related to the referenced rules, confirming they are sufficient and accurate and that governing policies and procedures remain aligned with applicable rules.
• Develop, document, and refine logic-based exception parameters, surveillance thresholds, and testing criteria; evaluate exception output to identify false positives, coverage gaps, and data-quality issues requiring escalation or system remediation.

Benefits

• A full range of medical, financial, and/or other benefits, dependent 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: Senior