Analyst Compliance ( FTC) in Frankfurt am Main

Overview

Stone X is an institutional-grade financial services network that connects companies, organisations, and investors to global markets ecosystem through a unique 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 bi-lateral liquidity venues.

We deliver this access with support throughout the entire lifecycle of a trade – from consulting and “boots-on-the-ground” intelligence, to best execution, to post-trade clearing, custody and settlement.

In these ways, Stone X enables clients to use the global markets ecosystem to achieve their business goals through one trusted partner.

Stone X Financial Ltd is a UK-based, FCA-authorised investment firm and a subsidiary of Stone X 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.

Stone X Financial Ltd connects clients to the global financial ecosystem through robust digital platforms and maintains a strong governance and risk management culture.

Responsibilities

Job Purpose

The Compliance Analyst is responsible for supporting and executing SFEG's Compliance and AML framework, ensuring that regulatory obligations are met, internal controls operate effectively, and business activities remain aligned with applicable laws, regulations, and internal policies.

The role contributes directly to the development and maintenance of a sound compliance culture across SFEG and its European operations and supports the successful implementation of strategic initiatives, acquisitions, business expansion activities, and regulatory projects.

Length of FTC : 12 month

Key Responsibilities

• Compliance Monitoring & Controls
• Execute, coordinate, document, and continuously enhance the Compliance Monitoring Plan and the Outsourcing monitoring framework.
• Perform compliance and AML monitoring activities and thematic reviews.
• Track, document, and follow up on remediation actions arising from monitoring activities, audits, and regulatory reviews.
• Review evidence and documentation submitted by business functions and outsourced service providers.
• Policies, Procedures & Governance
• Draft, review, maintain, and enhance compliance and AML policies, procedures, and governance documentation.
• Support the implementation of new regulatory requirements through policy updates and control enhancements.
• Assist in maintaining a consistent governance framework across European operations and group entities.
• Regulatory Change Management
• Monitor regulatory developments affecting SFEG and other relevant group entities.
• Conduct regulatory impact assessments and support implementation projects.
• Assist with regulatory initiatives including organisational changes, business expansions, and new product approvals.
• AML & Financial Crime Compliance
• Support the AML Officer in fulfilling AML-related responsibilities.
• Participate in AML control activities, risk assessments, and internal control framework enhancements.
• Assist in maintaining effective AML governance, client due diligence oversight, and documentation standards.
• Client & Business Oversight
• Maintain oversight of client documentation and client review processes.
• Support KYC and regulatory client requests.
• Assist business teams with compliance and AML-related queries and provide day-to-day advisory support.
• Branch & Cross-Border Compliance
• Support compliance oversight of SFEG's branches and cross-border activities, including Dublin, Madrid, Luxembourg, and future locations.
• Monitor adherence to internal policies and regulatory requirements across multiple jurisdictions.
• Assist with the implementation of regulatory and governance requirements in newly established entities and branches.
• Acquisitions & Business Integration
• Support the integration of acquired entities, business lines, and products into the existing Compliance and AML framework.
• Participate in governance, policy, and control harmonisation projects.
• Audit & Regulatory Examination Support
• Support internal audits, external audits, Wp HG/Mi FID II audits, and regulatory examinations.
• Coordinate the collection, preparation, and organisation of audit documentation.
• Track audit findings and support timely remediation efforts.
• Compliance Training & Awareness
• Support the development and delivery of Compliance and AML training programmes.
• Promote awareness of regulatory obligations, including Gifts & Entertainment, Personal Account Dealing, Conflicts of Interest, AML, and market conduct requirements.
• Contribute to the development of compliance communications across Europe.
• Group Support
• Provide compliance support to other Stone X Group entities where appropriate.
• Assist with the establishment and ongoing compliance framework of new regulated entities, including Ireland and other future European operations.

Qualifications

Education and Qualifications

• Bachelor's degree in Law, Business Administration, Finance, Economics, Compliance, Risk Management, or a related field.
• Must have full rights to work in Germany

Experience

• Previous experience (0-2 ) in a Compliance, AML, Risk, Regulatory, Legal, or Internal Control function within the financial services sector is preferred.
• Experience within an investment firm, bank, broker, commodity trading firm, or other regulated financial institution is advantageous.
• Familiarity with European regulatory frameworks including Mi FID II, Wp HG, Wp IG, AML regulations, MAR, EMIR, DORA, and related regulatory requirements is desirable.
• Knowledge & Skills
• Strong understanding of compliance risk management and internal controls.
• Ability to analyse regulatory requirements and translate them into practical business solutions.
• Strong organisational skills and ability to manage multiple priorities simultaneously.
• Excellent written and verbal communication skills.
• Strong analytical and problem-solving capabilities.
• Proficient in Microsoft Office applications, particularly Excel, Word, and Power Point.
• Ability to work independently while collaborating effectively with international teams.
• Fluent English, both spoken and written
• Personal Attributes
• High level of integrity, professionalism, and discretion.
• Proactive, motivated, and results-oriented mindset.
• Strong attention to detail and commitment to quality.
• Ability to work effectively in a rapidly evolving regulatory environment.