stonex groupWinter Park, FL
Compliance Supervisor - FX Trade Surveillance
Compliance Supervisor - FX Trade Surveillance
Compliance Supervisor - FX Trade Surveillance
stonex groupWinter Park, FL
today
Securities and Commodity ExchangesFinancial Transactions Processing, Reserve, and Clearinghouse ActivitiesInvestment Banking and Securities Intermediation
Apply for this role (opens in a new tab)FX Surveillance Programme Manager To help establish and run a trade surveillance programme for StoneX's global FX businesses.
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 productsdeep 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 FXAssist 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:
- 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 guidancecurious 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
Also on the board Same function, level within a rung
Level
Senior
Location
Winter Park, FL
Occupation
Compliance Managers
Industry
Securities and Commodity Exchanges
Posted
today