Compliance Analyst

Overview

StoneX is an institutional-grade financial services network connecting companies, organisations and investors to global markets through a blend of digital platforms, end-to-end clearing and execution services, high-touch service, and deep expertise.

We provide access to multiple derivatives exchanges and foreign exchange markets, nearly every global securities marketplace and a number of bilateral liquidity venues, with support across the trade lifecycle—from pre-trade insight and best execution to post-trade clearing, custody and settlement.

StoneX Financial Ltd is a UK-based, FCA-authorised investment firm and a subsidiary of StoneX Group Inc., a Nasdaq-listed global financial services company. Headquartered in London, it provides institutional-grade services including execution, clearing, custody, payments and access to global markets, supported by robust governance and risk management.

Responsibilities

To support the continued development of this highly successful business. This is a post-entry-level role within the Cross Product Team in the Compliance department, focused on delivering the Compliance Monitoring Programme (CMP) across the Firm’s business lines.

The role provides matrix support to Retail and Wholesale functions and to the Compliance project function (without direct reporting responsibility). This includes undertaking gap analyses, supporting compliance projects and change initiatives, and assisting with regulatory and internal queries. Analysts will be cross trained across Retail and Wholesale activities, enabling flexibility, resilience and broader skills development within the team. The role requires a technical understanding of applicable rules and regulations for the covered business areas.

Key Responsibilities:

• Deliver the Compliance Monitoring Programme (CMP) on time, including completion of planned monitoring activities, escalation of identified exceptions, and tracking of agreed remedial actions through to closure.
• Assist with analysing and interpreting relevant laws and regulations, including identifying changes that could affect the business.
• Produce and present management information (MI) reports to senior management committees on Compliance activities.
• Support the maintenance of the Compliance department’s policies and procedures.
• Manage the team’s shared mailbox, including triage, allocation and timely responses.
• Support the design and implementation of appropriate compliance controls for new business initiatives and new products.
• Perform gap analyses and support risk reviews and other assurance activity, documenting findings and tracking agreed actions through to closure.
• Support complex, ad hoc “deep dive” monitoring tasks that require technical expertise.
• Support the use of appropriate automation and analytical tools (including AI, where approved) to improve the efficiency and consistency of monitoring and reporting processes.
• Maintain awareness of regulatory developments and relevant industry best practice and support assessment of impacts to the Firm’s monitoring approach.
• Support regulatory and exchange interactions, including coordinating responses and contributing to investigations and follow-up actions.
• Support the preparation and timely submission of regulatory filings, returns and related disclosures.
• Engage with relevant industry bodies and/or working groups, as required.
• Deliver Compliance induction training for new employees.
• Deliver ad hoc compliance training and guidance to the business, as required (e.g., on regulatory change, policies and controls).

Qualifications

Knowledge and Experience

• Graduate level or up to one years’ relevant experience.
• Practical experience, knowledge and understanding of AI tools and their appropriate use in a business or compliance environment.

Desirable:

• A keen interest in applicable regulations (e.g., MiFID II, CASS) and a willingness to develop technical regulatory knowledge.
• An interest in the FCA regulatory framework and willingness to develop familiarity with the FCA Handbook.
• An interest in financial markets and the products and markets in which StoneX Financial Ltd is active:
  • Wholesale products: Agricultural, Dairy, Energy, LME, FX and Precious Metals.
  • Exchanges: ICE, LME, Eurex and Euronext.
  • Retail products (where relevant): CFDs, Spread Betting and FX.
  • Payments and Cryptocurrencies.

Qualifications

Essential

• Fluency in business English.

Preferred

• Completed university degree and/or a professional Compliance qualification

Qualification Requirement: As part of the role, you may be required to obtain a relevant professional qualification. Where applicable, this must be successfully completed within your probation period, with support provided by the company.

Skills

• Effective planning, organisation and time management skills.
• Ability to work accurately and reliably, with strong attention to detail.
• Ability to build relationships with key stakeholders and front office teams and manage conflict effectively.
• Ability to communicate effectively at all levels of the Firm.
• Strong analytical skills, including the ability to conduct forensic reviews.
• Commercial awareness.
• Collaborative, team-oriented approach.
• Ability to work independently and prioritise multiple tasks.
• Strong written and verbal communication skills.
• Strong computer literacy, including Microsoft Outlook, Word and Excel.

Minimum 4 days in the office