Compliance Officer - Investment Advisory

Responsibilities

• Provide guidance and support to employees of StoneX RIA companies related to the Code of Ethics (COE) and Written Supervisory Policies (WSP), as well as related regulatory issues.
• Aid in drafting new or changing policies and procedures for the annual 206(4)-7 review.
• Perform recurring reporting routines to support advisory compliance efforts, including reviewing systems reports, rules, and outputs to ensure compliance and address supervision needs.
• Review supervisory activities with respect to advisory programs to ensure compliance with established guidelines.
• Draft, review, and prepare the firm’s Disclosure Brochure(s) (Form ADV 2A).
• Facilitate regulatory filings on behalf of RIA companies and related StoneX entities, including Form ADV Part 1 and 2, 13F, NP-X, 13H, etc.
• Aid in the review and approval of marketing materials and internal communications, as necessary.
• Research and respond to regulatory requests as needed.
• Participate in other compliance initiatives on behalf of StoneX, as may be assigned.
• Support StoneX Securities Inc., a registered broker dealer, as needed.

Qualifications

• Bachelor’s degree or equivalent financial industry or related compliance experience required.
• FINRA Series 7, 65, or 66, and 24 required. Series 14 and/or IACCP preferred.
• 5 years of previous compliance or related industry experience preferred.
• Strong knowledge of the investment advisory business, including basic custody and trading operations, systems and interfaces, account set up, billing, and performance reporting.
• Knowledgeable in the Investment Advisers Act of 1940, as well as rules promulgated pursuant to the Act.
• Ability to apply industry specific knowledge, related to existing, proposed, and new regulations, to current situations and assist in the development of appropriate policies and procedures.
• Knowledge of Independent RIA and broker dealer model.
• Strong analytical and problem-solving skills.
• Strong communication skills, both written and verbal.
• High level technical skills including strong-to-expert level knowledge of MS Excel, MS Access, and/or Power BI.
• Previous experience with custodial/clearing and TAMP systems including Envestnet and Advyzon preferred.
• Strong time management skills and an ability to multi-task in a dynamic and time-sensitive environment.
• Ability to develop positive and productive relationships with business line partners.
• Ability to lead/direct others and delegate where appropriate in a professional and ethical manner.