Regulatory Operations Analyst

As a Regulatory Operations Analyst at The StoneX Group, your main responsibilities include investigating and remediating issues with transaction reports, ensuring compliance with various regulatory requirements like MIFID and EMIR, and providing oversight for impact assessments related to new markets and products. You'll also be tasked with reviewing daily submissions for accuracy and completeness, liaising with external vendors as necessary, and maintaining expert knowledge of regulatory processes.

To apply for the Regulatory Operations Analyst position at The StoneX Group, candidates should have 3-5 years of experience in regulatory and transaction reporting, particularly with frameworks such as MIFID and EMIR. A degree level education is required along with strong communication skills, attention to detail, and proficiency in Microsoft applications. Experience with CPT, Remit, and SFTR is a bonus!

In the role of Regulatory Operations Analyst at The StoneX Group, you can contribute to regulatory compliance by staying updated on evolving regulations, investigating discrepancies in transaction reports, and developing controlled improvements. Your insights will be crucial in navigating regulatory changes and ensuring that the business remains compliant and responsive to future adjustments in the regulatory landscape.

To succeed as a Regulatory Operations Analyst at The StoneX Group, you should possess solid market knowledge across various asset classes, strong analytical and project management skills, and the ability to learn quickly in a fast-paced environment. Additionally, attention to detail and the capacity to communicate effectively with team members and external partners will enhance your performance in this role.

As a Regulatory Operations Analyst at The StoneX Group, you'll primarily work with Microsoft applications for data analysis and reporting, and utilize JIRA for tracking and updating project tasks. Familiarity with SQL is a plus, as you may find it useful for more in-depth data analysis and reporting tasks related to compliance.

In my previous roles, I have extensively worked with regulatory reporting standards, specifically MIFID and EMIR. I have been involved in preparing transaction reports, ensuring their accuracy, and providing insights into compliance requirements. Understanding the nuances of these regulations has allowed me to contribute effectively to operational processes.

I prioritize tasks by assessing deadlines and the impact of each task on compliance. I use project management tools to track progress and deadlines, ensuring that critical tasks are addressed first. I also engage in regular communication with my team to adjust priorities as needed.

One of the biggest challenges in regulatory operations is staying ahead of evolving regulations and ensuring that all stakeholders are compliant with the latest requirements. It requires constant vigilance, adaptability, and proactive communication between teams to effectively manage these changes.

In my last position, I identified inefficiencies in our transaction reporting process that were causing delays. I initiated a review and implemented a new checklist methodology which improved accuracy and speed in report submissions. This led to a reduction in errors and improved turnaround times.

Compliance ensures that the organization adheres to regulations and laws, while operations focus on the daily activities needed to run the business efficiently. Both functions must work closely together, as effective operations must incorporate compliance requirements to mitigate risks.

If I identify a compliance issue, I would assess its severity and gather all relevant information before escalating it to my supervisor and the compliance team. Proactive communication is vital, and I'll ensure that a plan is developed to rectify the issue and prevent recurrence.

I am drawn to The StoneX Group because of its reputation for innovation and commitment to operational excellence. I see this position as an opportunity to apply and expand my knowledge in regulatory environments while contributing to a team that values compliance and responsiveness.

To stay updated on regulatory changes, I regularly read industry publications, participate in webinars, and join professional networks focused on compliance and regulatory affairs. This continuous learning approach helps me remain informed about best practices and emerging trends.

Attention to detail is crucial in regulatory operations because even minor inaccuracies can lead to compliance failures. By ensuring thoroughness in transaction reports and related documentation, we can mitigate risks and maintain the integrity of our operations.

Technology significantly impacts regulatory operations by automating reporting processes, improving accuracy, and providing real-time data access. Advanced analytics and compliance management tools also help streamline operations and enhance our ability to adapt quickly to regulatory changes.