Title Compliance Officer - Investment Advisory

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, Stone

X Group is made up of four business segments that offer endless potential for progression and growth

Business Segment Overview:

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.

Position

Purpose:


Senior Compliance Officer, Investment Advisor Services, position reports directly to the Chief Compliance Officer (CCO). The successful candidate supports the retail business lines of Stone

X Wealth Management and Stone

X Group. They will possess strong communications skills, superior writing skills, a very strong working knowledge of MS Excel with respect to data management and reporting, and the ability to manage multiple tasks in a dynamic environment.

Position

Purpose:


Senior Compliance Officer, Investment Advisor Services, position reports directly to the Chief Compliance Officer (CCO). The successful candidate supports the retail business lines of Stone

X Wealth Management and Stone

X Group. They will possess strong communications skills, superior writing skills, a very strong working knowledge of MS Excel with respect to data management and reporting, and the ability to manage multiple tasks in a dynamic environment.

Primary Accountabilities/Responsibilities:

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

Job Requirements:

• 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 to assist, as needed, 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.