Branch Inspections Compliance Manager
Company: Stonex Group
Location: Birmingham
Posted on: July 1, 2025
|
|
|
Job Description:
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, youll 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.
Hiring Salary Range $120,000-$150,000 (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.
Keywords: Stonex Group, Auburn , Branch Inspections Compliance Manager, Accounting, Auditing , Birmingham, Alabama
