Compliance Supervisor - FX Trade Surveillance

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, StoneX 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: To help establish and run a trade surveillance programme for StoneX’s global FX businesses.

Responsibilities

Primary duties will include:

• Lead the creation of FX surveillance programme. Activities include:
• Define surveillance scope across retail FX products
• Identify and onboard required data sources covering data architecture & data quality controls
• Design scenario‑based alerts tailored to retail FX risks
• Establish day‑to‑day alert review procedures
• Testing, tuning & effectiveness reviews; conduct pre‑ and post‑implementation testing of scenarios.
• Design MI that demonstrates control, challenge, and oversight, not just volumes.
• Regulatory engagement & audit readiness: maintain regulator‑ready documentation at all times.
• Ongoing Programme Leadership: own the FX surveillance roadmap (technology, coverage, capability).
• Processing of all FX surveillance related tasks, including alerts for both trade and communications, and production of management information
• Assist the Team with monitoring of key regulatory developments
• Offering compliance advice and guidance on FX trade surveillance to other business units as required 
• Assist in the implementation of suitable compliance controls to new business initiatives and new products
• deep dive and thematic reviews of FX risks
• Assist with investigating and resolving ad hoc queries from regulators, exchanges and other areas of the business relating to FX
• Assist in the administration of compliance policies and procedures
• Support new business initiatives e.g. new products/jurisdictions, acquisitions
• Provide training to the business and team

Qualifications

Qualifications

• Fluency in business English

Education / Certification Requirements: 

• University degree/Professional Compliance Qualification – professional qualifications may be required to be attained if not already held

To land this role you will need: 

• Effective planning, good organization and time management skills
• Ability to work accurately, thoroughly, reliably and with strong attention to detail
• Strong analytical skills and assist with “forensic” reviews
• Commercial awareness
• Team player
• Ability to work independently and prioritise multiple tasks
• Good relationship building and communications skills (written and oral)
• Computer competency, including Microsoft Outlook/Word/Excel

Capabilities:

• Candidates need to demonstrate ability to get up to speed, ability to absorb and evaluate info (on their own)
• Ability to be self-starting and navigate the firm without lots of guidance
• curious to explore, independently drive & be autonomous
• Use the resources available independently (vs ‘waiting for training/support))
• Not waiting to be told, but to bring ideas /suggestions – but those that fit the problem that needs solving 

Working Style: 

• 4 days per week onsite, 1 day per week remote
• Ability to work in a team environment
• Must be authorized to work in the US for any employer

Hiring Salary Range $120,000-$140,000 (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.