Branch Inspections Compliance Manager

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.

At StoneX, we offer you the opportunity to be part of an institutional-grade financial services network that connects companies, organizations, and investors to the global markets ecosystem. As a team member, you'll benefit from our unique blend of digital platforms, comprehensive clearing and execution services, personalized high-touch support, and deep industry expertise. Elevate your career with us and make a significant impact in the world of global finance.

Business Segment Overview: 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.

Responsibilities

Position Purpose: Responsible for overseeing the branch examination team, including the development and maintenance of inspection schedules, employee and representative training, and the creation of a branch risk-rating system. This role also involves the implementation and management of compliance-related technology platforms, while supporting key compliance initiatives across affiliated broker-dealers and SA Stone Investment Advisors, Inc. The individual will act as a strategic leader and key decision-maker within the compliance function. Knowledge of both retail and institutional broker dealer activities is a plus.

Primary duties will include:

• Lead and manage the Branch Examination team.
• Conduct branch office inspections across all registered and non-registered office locations.
• Plan, prepare, and execute comprehensive branch examinations, including onsite visits.
• Oversee the branch examination closeout process and ensure timely and effective remediation efforts.
• Monitor business practices through the examination program to ensure compliance with internal policies, procedures, and regulatory requirements.
• 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 to firm employees, representatives, and business units on regulatory changes, compliance matters, internal policies, and industry best practices.
• 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.

Qualifications

Job Requirements:

• Minimum of 10 years of experience in a compliance-related role within the financial services industry.
• Ability to manage a remote team of personnel.
• Ability to travel up to 75% of the time.
• 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.
• Broad understanding of broker-dealer operations and applicable regulatory frameworks.
• Must uphold and model a high standard of professionalism and ethical conduct.

Education / Certification Requirements:

• Bachelor's degree in Management, Finance, or a related field.
• Must possess FINRA Series 7 and Series 24 licenses.

Working environment:

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

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