Title Senior Compliance Associate, Branch Inspections

Overview

Connecting clients to markets – and talent to opportunity

With 4,300 employees and over 400,000 retail and institutional clients from more than 80 offices spread across five continents, we’re a Fortune-100, Nasdaq-listed provider, connecting 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, The Stone

X Group is made up of four 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.

Position purpose: To plan and conduct branch examinations. May perform other compliance duties/responsibilities as part of a compliance team.

Primary duties will include:

• Conduct scheduled and unscheduled branch office inspections across all registered and non-registered office locations, for multiple Stone
  
  X broker dealers and RIAs, both onsite and remote
• Review branch operations, sales practices, supervisory procedures, and recordkeeping for compliance with FINRA, SEC, and other applicable regulations
• Properly document findings, recommendations, and required corrective actions.
• Prepare detailed examination reports outlining findings, recommendations, and required corrective actions.
• Assist in the development and ongoing maintenance of comprehensive Written Supervisory Procedures (WSPs).
• Conduct assigned supervisory control testing and document results.
• Interpret and apply relevant securities laws and regulations related to the role’s responsibilities.
• Provide guidance, education, and training firm employees, representatives, and business units on regulatory changes, compliance matters, internal policies, and industry best practices.
• Prepare detailed examination reports outlining findings, recommendations, and required corrective actions.
• Support responses to regulatory inquiries, examinations, and investigations as needed.
• Foster collaborative and professional relationships with business partners.
• Participate in compliance-related and cross-functional projects as assigned.
• Perform other duties and responsibilities as assigned by management.

To land this role you will need:

• Minimum of 5 years of experience in a compliance-related role within the financial services industry.
• Institutional broker-dealer experience with a strong understanding of industry practices.
• In-depth knowledge of equity and fixed income trading, including market structure and execution.
• Hands-on experience with clearing and prime brokerage operations.
• Broad understanding of broker-dealer operations and applicable regulatory frameworks.
• Strong knowledge of FINRA, SEC, and other regulatory requirements
• Demonstrated analytical, problem-solving, and investigative skills.
• Strong leadership capabilities and sound decision-making judgment.
• Excellent verbal and written communication skills.
• Proficiency in Microsoft Office Suite, particularly Excel.
• Ability to build and maintain positive, productive relationships across departments and with external stakeholders.
• Strong organizational skills with the ability to manage multiple priorities in a fast-paced environment.
• Must uphold and model a high standard of professionalism and ethical conduct.
• Full professional fluency in English required

What makes you stand out:

• Prior experience as a FINRA examiner or similar regulatory role a plus.
• Must possess FINRA Series 7 and Series 24 licenses.
• Professional working proficiency in Spanish preferred

Education / Certification Requirements:

• Bachelor’s degree in management, Finance, or a related field.

Working Environment:

• Remote
• Ability to travel up to 75% of the time.

Hiring Salary Range $75,000 - $115,000. 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.