Deputy Chief Compliance Officer

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

• Bachelors 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 $120000 - $170000 (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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