Overview:
Overview
Connecting clients to markets and talent to opportunity.
With 4,300 employees and over 400,000 retail and institutional clients from more than 80 offices spread across five continents, were 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.
Whether you want to forge a career connecting our retail clients to potential trading opportunities, or ingrain yourself in the world of institutional investing, The StoneX Group is made up of four segments that offer endless potential for progression and growth.
Business Segment Overview
Corporate: 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, youll have the opportunity to optimize processes and implement game-changing policies.
Responsibilities:
Position Purpose
Broker-Dealer/Investment Advisor Regulatory Attorney - StoneX Financial Inc. is looking for a mid-level attorney with significant experience in broker-dealer and investment advisor regulatory and transactional matters. Experience with cross-border concerns is a plus.
Responsibilities
- Advising broker-dealer and investment advisor entities on regulatory and compliance issues in domestic and cross-border operations;
- Assist Compliance in responding to regulatory inquiries;
- Drafting/negotiating forms and agreements;
- Assisting in creation of policies and procedures;
Qualifications:
Job Requirements:
- 5+ years legal experience post JD
- Strong substantive knowledge of broker dealer and investment advisor regulation, including: sales practices, order handling and trade reporting rules, best execution, "know your customer", Regulation NMS, Reg SHO, and Regulation BI.
- High level of initiative, integrity, and organization
- Adept at developing interpersonal relationships
- Strong, written and verbal communications skills
Working Environment:
- Hybrid - 3 days per week in office, 2 days per week remote