Welcome page Returning Candidate? Log back in! Regulatory Operations Associate Locations US-FL-Miami ID 2024-11977 Category (Portal Searching) Operations Position Type (Portal Searching) Experienced Professional Overview

Connecting clients to markets – and talent to opportunity

 

With 4,300 employees and over 400,000 retail and institutional clients from more than 80 offices spread across five continents, we’re a Fortune-100, Nasdaq-listed provider, connecting 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, The StoneX Group is made up of four segments that offer endless potential for progression and growth.

 

With boots on the ground authenticity at the heart of everything we do, our comprehensive array of commercial products and services enable you to work directly with our clients, across hedging, risk management, execution and clearing, OTC products, commodity finance and more.

Responsibilities

The Associate will be expected to learn mulitple tasks within the Regulatory Operations group, focusing on KYC ('Know Your Customer') Refresh and related tasks. The expectations of the Associate are that he/she performs their duties with a high level of attention to detail and excellent customer service. The individual seeking this position would be successful by continually seeking to learn and grow in their understanding and not being afraid to ask questions. 

 

Primary duties will include: 

Monitor and communicate trade reporting exceptions for various reporting requirements including, but not limited to, the following:CATTRACEMSRBLOPRBlue SheetsCAISIdentify, notify and take action on the firm’s Reg SHO itemsProcess various non-trade related reporting requirements including, but not limited to, the following:KYC (Know Your Customer)KYC RefreshMaintain an understanding of team expectations and company policiesShared responsibility for team phone and e-mail coverageKeep management informed on any unusual requests and potential issuesMaintain prompt and regular attendanceThis list of duties and responsibilities is not intended to be all-inclusive and can be expanded to include other duties or responsibilities that management deems necessary Qualifications

To land this role you will need:

Some prior work experience in banking or securities related field preferredStrong critical thinking and analytical skills with high attention to detailExcellent organizational and time management skills with the ability to multi-taskEffective communication skills – oral and written, with an emphasis on customer serviceProficiency in Microsoft Office applications including, but not limited to Outlook, Excel, Word and PowerPoint Ability to take direction, work independently and within a team environmentAdaptable to change in a highly regulated industry

Education / Certification Requirements:

Bachelor’s degree in business, finance or related field or equivalent work experienceSIE and Series 99 (or ability to obtain within 2 months of employment)

Working environment:

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