Finra Jobs in Alabama (NOW HIRING)

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. 

Institutional: Immerse yourself in the best-in-class institutional-grade technology, working alongside industry experts and gaining exposure to various asset classes, such as equities, options, fixed income securities, and advanced trading, research, and management technology. 

The Deputy Chief Compliance Officer reports directly to the Chief Compliance Officer and supports the retail business lines of StoneX Wealth Management. This role is responsible for assisting in the design, implementation, and oversight of compliance programs across both broker-dealer and investment advisory operations. The ideal candidate will possess strong communication and writing skills, advanced analytical capabilities, and significant experience using Microsoft Excel for data management and regulatory reporting. The role requires the ability to manage multiple priorities in a fast-paced, highly regulated environment.

Responsibilities 

• Provide guidance to employees on compliance with the Code of Ethics (COE), Written Supervisory Procedures (WSPs), and applicable regulatory requirements
• Assist the CCO in coordinating and executing annual compliance reviews, including FINRA Rule 3120 and Advisers Act Rule 206(4)-7 reviews
• Perform recurring compliance monitoring and reporting functions, including review of surveillance reports, exception reporting, and supervisory controls
• Review supervisory activities related to advisory programs to ensure adherence to internal policies and regulatory standards
• Assist in drafting, reviewing, and maintaining regulatory disclosures, including Form CRS and Form ADV (Part 2 and Part 3)
• Prepare and file regulatory submissions for RIA entities and affiliated firms, including Forms ADV (1A), ADV-E, 13F, NP-X, 13H, and other required filings
• Review and approve marketing materials and internal communications for regulatory compliance, as needed
• Conduct regulatory research and assist in preparing responses to regulatory inquiries, audits, and examinations
• Assess and evaluate daily operations and implement automation where appropriate to streamline operating functions. Collaborate with cross functional compliance, AML and supervision teams to support daily initiatives
• Supervise staff that supports both investment advisory and broker dealer compliance initiatives
• Perform additional duties as required to support the compliance function and broader business needs

• Bachelor's degree or equivalent industry experience required
• FINRA Series 7 and Series 24, Series 65 or 66 required;
• Minimum of 5 years of compliance or related financial services experience preferred
• Strong knowledge of broker-dealer and investment adviser operations, including:
  • Trading and custody processes
  • Account onboarding and maintenance
  • Billing and performance reporting systems
• Working knowledge of the Investment Advisers Act of 1940 and related rules
• Ability to interpret and apply regulatory requirements to business practices and assist in developing compliant policies and procedures
• Strong analytical, problem-solving, and organizational skills
• Excellent written and verbal communication skills
• Advanced proficiency in Microsoft Excel (Access or other data tools a plus)
• Demonstrated ability to manage multiple priorities and meet deadlines
• Proven ability to build effective working relationships across business lines
• Leadership skills with the ability to delegate, guide, and mentor others in a professional and ethical manner

Hiring Salary Range $120,000 - $170,000 (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.  

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