Compliance Officer - Investment Advisory
On-siteMiami, Florida, United States or Birmingham, Alabama, United States
Job Summary
Provide guidance and support to employees regarding the Code of Ethics, Written Supervisory Policies, and regulatory issues. Assist the Chief Compliance Officer in coordinating the annual 206(4)-7 review, drafting new or changing policies, and performing recurring reporting routines to ensure supervision needs are addressed. Review supervisory activities, prepare Disclosure Brochures (Form ADV 2A), facilitate regulatory filings including Form ADV and 13F, and review marketing materials for compliance. Research and respond to regulatory requests while participating in assigned compliance initiatives. This role reports directly to the Chief Compliance Officer, supporting retail business lines of StoneX Wealth Management and StoneX Group. The position requires a Bachelor's degree, FINRA Series 7, 65, 66, and 24, and five years of compliance experience.
Required Qualifications
- Bachelor's degree or equivalent financial industry or related compliance experience
- FINRA Series 7
- FINRA Series 65
- FINRA Series 66
- FINRA Series 24
- Strong knowledge of the investment advisory business, including basic custody and trading operations, systems and interfaces, account set up, billing and performance reporting
- Knowledgeable in the Investment Advisers Act of 1940, as well as rules promulgated pursuant to the Act
- Ability to apply industry specific knowledge, related to existing, proposed and new regulations, to current situations and to assist, as needed, in the development of appropriate policies and procedures
- Knowledge of Independent RIA and broker dealer model
- Strong analytical and problem-solving skills
- Strong communication skills, both written and verbal
- High level technical skills including strong-to-expert level knowledge of MS Excel, MS Access, and/or Power BI
- Strong time management skills and an ability to multi-task in a dynamic and time-sensitive environment
- Ability to develop positive and productive relationships with business line partners
- Ability to lead/direct others and delegate where appropriate in a professional and ethical manner
Desired Qualifications
- Series 14
- IACCP
- 5 years of previous compliance or related industry experience
- Previous experience with custodial/clearing and TAMP systems including Envestnet and Advyzon
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