Compliance Analyst

About StoneX

Role overview

Responsibilities

• Complete planned monitoring, escalate exceptions and track remedial actions through closure.
• Analyse laws and regulations, identify relevant changes and support regulatory and internal queries.
• Produce management information reports for senior management committees.
• Maintain Compliance policies and procedures and manage the shared mailbox.
• Support controls for new business initiatives and products; conduct gap analyses, risk reviews and assurance work.
• Support deep-dive monitoring, automation and analytics, including AI where approved.
• Support regulatory and exchange interactions, investigations, filings, returns and disclosures.
• Deliver Compliance induction and ad hoc training and guidance to the business.
• Engage with industry bodies or working groups as required.

Knowledge and qualifications

• Graduate level or up to one year's relevant experience.
• Practical experience, knowledge and understanding of AI tools and their appropriate business or compliance use.
• Fluency in business English.
• Effective planning, organisation and time management; work accurately and reliably with strong attention to detail.
• Interest in regulations such as MiFID II or CASS and willingness to develop regulatory knowledge is desirable.
• Interest in the FCA framework, financial markets and relevant products is desirable.
• A completed university degree and/or professional Compliance qualification is preferred.
• A relevant professional qualification may be required within the probation period, where applicable; company support is provided.

Relevant markets and products

• Wholesale markets include Agriculture, Dairy, Energy, LME, FX and Precious Metals; exchanges include ICE, LME, Eurex and Euronext.
• Retail products include CFDs, Spread Betting and FX; other areas include payments and cryptocurrencies.