Welcome page Returning Candidate? Log back in! Regulatory Operations Associate Locations US-AL-Birmingham ID 2025-13815 Category (Portal Searching) Operations Position Type (Portal Searching) New Graduate & Early Talent Overview

Connecting clients to markets – and talent to opportunity.

With 4,500+ employees and over 300,000 commercial, institutional, payments, and retail clients, we operate from more than 70 offices spread across six continents. As a Fortune 100, Nasdaq-listed provider, we connect 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, StoneX Group is made up of four business segments that offer endless potential for progression and growth.

Responsibilities Monitor and communicate trade reporting exceptions for various reporting requirements including, but not limited to, the following:CATTRACEMSRBLOPR/AICBlue SheetsCAISLTIDsIdentify, notify and action the firm’s Reg SHO itemsMaintain an understanding of team expectations and company policiesShared responsibility for team phone and e-mail coverageKeep management informed on any unusual requests and potential issuesMaintain prompt and regular attendance

This list of duties and responsibilities is not intended to be all-inclusive and can be expanded to include other duties or responsibilities that management deems necessary

Qualifications

Required:

Effective communication skills – oral and written, with an emphasis on customer serviceStrong critical thinking and analytical skills with high attention to detailAdaptable to change in a highly regulated industryProficiency in Microsoft Office 365 applicationsAbility to take direction, work independently and within a team environment

Preferred: 

Basic experience with database query building and/or SQL experience

 

Education:

Bachelor’s degree in business, finance or related field or equivalent work experienceSIE (Securities Industry Essentials) or ability to obtain within 2 months of employment (or already FINRA licensed) Options Apply for this job onlineApplyShareEmail this job to a friendRefer Sorry the Share function is not working properly at this moment. Please refresh the page and try again later. Share on your newsfeed Application FAQs

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