Regulatory Operations Analyst

Regulatory Operations Analyst Birmingham, AL Job Details 13 hours ago Qualifications Microsoft Excel Microsoft Outlook Bachelor's degree in finance Regulatory reporting Bachelor's degree in business Finance SQL Bachelor's degree Securities Industry Essentials Business Escalation handling Communication skills Entry level Database software proficiency

Full Job Description 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:

Primary Responsibilities:

As an Analyst, you will support the firm's trade reporting and regulatory operations by reviewing, monitoring, and resolving routine reporting items. This role is primarily back‑office and process‑driven , with a strong focus on accuracy, consistency, and regulatory requirements.

Key responsibilities include:

Review and follow up on trade reporting exceptions across multiple regulatory reporting systems (e.g. CAT, TRACE, MSRB, Blue Sheets, and others) Identify, track, and help action Reg SHO-related items Communicate issues or exceptions to the appropriate internal teams Follow established procedures, team guidelines, and company policies Participate in shared team phone and email monitoring for operational requests Escalate unusual requests or potential risks to management Maintain reliable and timely attendance Cross‑train within the team to provide operational backup when needed This role involves structured, repeatable daily work within a defined area of the team. Over time, responsibilities may expand as you gain experience.

Role Expectations:

Perform work with a high level of accuracy and attention to detail Follow regulatory and internal process requirements carefully Communicate clearly and professionally with internal stakeholders Learn and apply procedures consistently in a regulated environment

Qualifications:

Required Qualifications:

Strong written and verbal communication skills Good analytical and problem‑solving skills with attention to detail Comfort working in a highly regulated, rules‑based environment Proficiency with Microsoft Office 365 (Outlook, Excel, Word) Ability to follow instructions, work independently, and collaborate with a team Must be authorized to work in the US for any employer

Preferred:

Basic experience with database query building and/or SQL experience.

Education:

Bachelor's degree in business, finance or related field or equivalent work experience. SIE (Securities Industry Essentials) or ability to obtain within 2 months of employment (or already FINRA licensed).

Working environment:

4 days in the office, 1 day at home.