Broker-Dealer Compliance Principal (Email Surveillance)
stonex groupWinter Park, FL
yesterday
Industries
Miscellaneous IntermediationInvestment Banking and Securities IntermediationSecurities and Commodity ExchangesAbout the role
StoneX Group Inc. is seeking a broker-dealer designated principal email review professional to join Institutional operations. You will review email communications and monitor social media to ensure compliance across the firm.
The role requires 2 years of broker-dealer supervision experience, email surveillance expertise, and strong communication skills. Educational requirements include a college degree or equivalent industry experience, plus Series 7/24/63 licenses.
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JOB OVERVIEW
Experience level
Senior
Location
Winter Park, FL
Occupation
Compliance Officers
Industry
Miscellaneous Intermediation
Posted
yesterday
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