Compliance Analyst

Overview

Class: Full-time and Permanent

Legal Entity: SNEX Technology Services Private Limited

Report to: Manager, Trade Surveillance

Company Overview:

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:

Corporate:Engage in a deep variety of business-critical activities that keep our company running efficiently. From strategic marketing and financial management to human resources and operational oversight, you’ll have the opportunity to optimize processes and implement game-changing policies.

Responsibilities

Position Purpose:

Detecting and escalating potential market abuse and policy breaches in voice and electronic communications across multiple businesses and within agreed service standards. This role sits within the Central Surveillance Division of the Compliance Department and will focus on providing support and monitoring across the Firm’s various business lines.

Primary duties will include:

• Processing communications surveillance for both oral and written communications. This will involve listening to calls and reviewing written communications to determine if there has been a breach of any Firm policy, and escalating suspicions to line management.
• Assisting with the production of management information (MI) relating to communications surveillance.
• Assisting with testing of lexicon lists and AI models supporting the communications surveillance process.
• Assisting with the administration of employee reconciliations to ensure we are reviewing the right population.
• Thematic reviews of business areas via a deep dive into communications.
• Processing the Team’s shared mailbox.
• Completion of ongoing tasks that sit within the team’s Compliance Monitoring Programme (“CMP”)
• Assist with investigating and resolving ad hoc queries from regulators, exchanges and other areas of the business.
• Assist in the administration of compliance policies and procedures.
• Support new business initiatives e.g. new products/jurisdictions, acquisitions.

The role may also involve processing Employee Compliance tasks including PA Trading approvals and reconciliations.

The role will involve working across time zones with teams in multiple locations, supporting global business lines.

Qualifications

To land this role you will need:

• Fluency in business English.

• 1-3 years in compliance, surveillance, risk or operations at a financial services firm.
• a working understanding of market abuse (insider dealing, market manipulation, improper sharing of inside information).
• Experience reviewing alerts or cases and writing clear, evidence-based escalation notes.
• Basic knowledge of regulatory rules around Market Abuse, Conflicts of Interest and Money Laundering.
• Basic knowledge of products traded by the Firm including Securities, Futures and Foreign Exchange.

The role will involve dealing with confidential information, and the successful candidate should be familiar with best practice for dealing with such information, in line with Firm policy and data protection requirements.

What makes you stand out:

• Effective planning, good organisation and time management skills.
• Ability to work accurately, thoroughly, reliably and with strong attention to detail.
• Strong analytical and investigative skills.
• Team player.
• Ability to work independently and prioritise multiple tasks.
• Good relationship building and communications skills (written and oral).
• Computer competency, including experience with Microsoft Outlook/Word/Excel/Co-pilot.

Education / Certification Requirements:

• University degree/Professional Compliance Qualification - professional qualifications may be required to be attained if not already held.

Working environment:

• 4 days in office, 1 day remote

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