StoneX Group Inc.

Associate, FCM IB & Employee Compliance

StoneX Group Inc. • $80K — $85K *
Chicago, IL 60629In-Person
Finance & Insurance
Less than 5 years of experience
Today
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Job Overview by Ladders

Qualifications

  • Bachelor's Degree required, preferably in Finance, Business, or Legal Studies.
  • 3-5 years of compliance experience in financial services, focusing on employee compliance and IB oversight.
  • In-depth knowledge of CFTC, NFA, and exchange regulations.
  • Hands-on experience with NFA registration processes.
  • Strong attention to detail and organizational skills, managing multiple priorities effectively.

Responsibilities

  • Administer compliance programs for employees and Introducing Brokers (IBs) according to regulatory and internal requirements.
  • Ensure timely registration and updates for employees and IBs with the NFA.
  • Manage IB audits and coordinate with stakeholders to resolve deficiencies.
  • Oversee IB onboarding and ensure compliance with agreements and registration.
  • Conduct routine compliance training, track metrics, and enforce training obligations.
  • Review marketing materials for compliance with regulations and guidelines.
  • Monitor brokers' personal trading accounts for regulatory compliance.

Benefits

  • Full range of medical and financial benefits.
  • Opportunity to participate in an incentive compensation plan based on performance.
  • Flexible working environment with a minimum of 4 days in-office requirement.
Full Job Description
Position Purpose: The Compliance Analyst II supports the firm's employee and Introducing Broker (IB) compliance programs by administering applicable regulatory and internal compliance requirements. This role is responsible for ensuring accurate registration, recordkeeping, oversight, and ongoing monitoring in accordance with rules and requirements issued by regulatory bodies including the CFTC, NFA, and various exchanges, as well as firm policies and procedures. The Compliance Analyst II serves as a key point of contact for employees and Introducing Brokers, provides day-to-day compliance guidance, supports audits and examinations, and assists with investigative, monitoring, and control-enhancement activities to maintain a strong and effective compliance framework.

Responsibilities

Primary duties will include:

  • Administer employee and Introducing Broker (IB) compliance programs in accordance with applicable regulatory requirements and internal policies.
  • Ensure proper, accurate, and timely registration of employees and Introducing Brokers with the NFA, including ongoing updates, amendments, and renewals.
  • Review, document, and manage IB audits, including follow-up on findings and coordination with internal stakeholders to address deficiencies.
  • Support the IB onboarding process by tracking new IB account openings, ensuring proper registration and executed agreements, and coordinating information flow across applicable Compliance functions.
  • Manage routine compliance training programs by administering module rollouts, tracking completion metrics, maintaining required documentation, and supporting enforcement of training obligations.
  • Review, approve, and maintain promotional and marketing materials to ensure compliance with regulatory requirements and firm guidelines.
  • Oversee brokers' personal trading accounts by reviewing activity, maintaining required documentation, and ensuring compliance with regulatory rules and firm policies.
  • Serve as a primary point of contact for employees and Introducing Brokers.
  • Support ongoing monitoring, testing, and enhancement of compliance controls related to employee and IB activities.
  • Assist with regulatory examinations, audits, and ad hoc projects assigned.


Qualifications

To land this role you will need:

  • Bachelor's Degree required. A major in Finance, Business, Legal Studies, or a related field preferred.
  • 3-5 years of experience in a compliance, regulatory, or supervisory role within a financial services environment, preferably involving employee compliance and/or Introducing Broker (IB) oversight.
  • Working knowledge of and proven ability to interpret market rules and regulatory requirements issued by the CFTC, NFA, and various exchanges.
  • Hands-on experience with NFA registration and promotional material review processes preferred.
  • Experience administering or supporting employee compliance programs, including personal trading account monitoring, training requirements, and policy adherence.
  • Strong attention to detail with demonstrated ability to maintain accurate records, perform quality checks, and ensure regulatory readiness.
  • Experience supporting regulatory examinations, internal audits, and responding to information requests from regulators or internal stakeholders preferred.
  • Demonstrated ability to conduct and document ad hoc investigations, identify potential compliance issues, and escalate matters appropriately.
  • Strong organizational and time-management skills, with the ability to manage multiple priorities.
  • Effective written and verbal communication skills, with the confidence to engage directly with internal and external stakeholders.
  • Proficiency with compliance systems, databases, and Microsoft Office applications (Excel, Word, Outlook); experience with compliance or registration platforms preferred.


Working Environment:
  • Minimum 4 days/week in the office (or as the Firm dictates)
  • Dynamic, time-sensitive environment.
  • Demonstrated ability working with people in connection with challenging issues.
  • Ability to work independently.
  • Must be authorized to work in the US for any employer.

Hiring Salary Range $80,000 - $85,000. Salary to be determined by the education, experience, knowledge, skills and abilities of the applicant, internal equity and alignment with market data.) Subject to business performance and recommendations of management, this role may be eligible to participate in an incentive compensation plan. This compensation package, in addition to a full range of medical, financial, and/or other benefits, dependent on the position, is offered.

About StoneX Group Inc.

Stonex provides fabrication and installation of stone surfaces like kitchen countertops, bathroom vanity tops, and fireplaces. They provide products like white, marble, granite, travertine, onyx, limestone, and semi-precious stones. For inquiries, telephone and email contact are used.

StoneX Group Inc. Careers

Join the dynamic team at StoneX Group Inc., a prominent leader in financial services, where innovation meets expertise. At StoneX, we offer unparalleled job opportunities that propel your career forward in an environment fostering growth and leadership.

Work You’ll Do

At StoneX Group Inc., you will engage in transformative projects that redefine industry standards. Our team of professionals is dedicated to providing comprehensive financial solutions that empower businesses and individuals worldwide. By joining our team, you will collaborate with skilled experts to drive innovation and deliver exceptional results.

Explore a World of Opportunities

Whether you're seeking your first internship or a seasoned professional position, StoneX Group Inc. offers a spectrum of career paths across various disciplines. Our commitment to professional growth and diversity training ensures that every team member has the tools and knowledge to succeed.

Innovate and Lead

StoneX Group Inc. is at the forefront of financial markets, offering cutting-edge solutions that facilitate global trade and investment. Our leadership in the industry is driven by a culture of innovation and a relentless pursuit of excellence. Join us and lead the way in developing new strategies and technologies that impact the financial landscape.

Be Part of Our Team

Our team at StoneX Group Inc. is our greatest asset. We thrive on the diversity of ideas and experiences that each member brings. We are committed to creating a supportive and inclusive environment where every employee can achieve their potential. Enjoy benefits that enhance your life and work, comprehensive training programs, and opportunities for networking and career advancement.

Develop Your Career

StoneX Group Inc. is dedicated to your professional development. With access to advanced training programs and mentorship, you can expand your skills and take on challenging roles that enhance your career trajectory. Our supportive culture and emphasis on leadership development prepare you for future roles within the company and beyond.

Join Our Hiring Events

Discover more about the exciting career opportunities at StoneX Group Inc. by participating in our hiring events. Meet our team, learn about our culture, and find out how your skills and interests align with our needs. Prepare your resume, sharpen your interview skills, and get ready to embark on a rewarding career journey with us.

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Apply Now

Ready to take the next step in your career? Explore the current job opportunities at StoneX Group Inc. and apply today. Join us in shaping the future of finance, enhancing your career, and making a significant impact in the industry.

SEARCH STONEX GROUP INC. JOBS

Whether you are looking for an internship, a full-time position, or a leadership role, StoneX Group Inc. offers a path to success. Join us and be part of a team that values innovation, leadership, and diversity.
Learn more about StoneX Group Inc.
Size
3,300 employees
Market Cap
$1.9 billion
Industry
Finance & Insurance
Net Income
$172.8 million
5 Year Trend
+17.5%
Revenue
$52.1 billion
NASDAQ
SNEX
* Ladders Estimates

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