Kyle Szumigalski
Compliance Officer with StoneX Group
- Role
- Compliance Officer at StoneX Group Inc.
- Location
- Chicago, IL, US
- LinkedIn followers
- 500 followers
Experience
Compliance Officer
Feb 2023 — Present · Chicago, IL, US
Assist in identifying gaps in policies, creating new processes, and implementing the process and training/attestations for FO as necessary• Participate in the pre-trade and post-trade review process for both entities including Exchange for Related Position (EFRP)• Assist Deputy CCO – in daily oversight of compliance program ensuring effectiveness and timely completion of tasks• Assist Deputy CCO on regular examinations.• Collaborate with other departments to direct compliance issues to appropriate existing channels for investigation and resolution• Consult with in house legal team as needed to resolve difficult legal compliance issues.• Assist in preparing, reviewing, and submitting regulatory requests (CFTC, CME, NFA, etc.)• Assist with initial and ongoing due diligence for Introducing Brokers, CTA’s, & CPO’s• Assist monitoring and reviewing daily trade and market surveillance alerts generated by customers and internal traders. Use investigative skills to review for patterns, potential issues, and other disruptive trading practices that would constitute violations of regulations.
Education
University of Illinois at Urbana-Champaign
Bachelor’s Degree, Communication/ Minor in Business
2012 — 2016
University of Illinois at Chicago
Master of Science - MS, Accounting
2020 — 2021
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