Connecting clients to markets – and talent to opportunity

With 4,300 employees and over 400,000 retail and institutional clients from more than 80 offices spread across five continents, we’re a Fortune-100, Nasdaq-listed provider, connecting 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, The StoneX Group is made up of four segments that offer endless potential for progression and growth.

Corporate: Engage in a deep variety of business-critical activities that keep our company running efficiently. From strategic marketing and financial management to human resources and operational oversight, you’ll have the opportunity to optimize processes and implement game-changing policies.

Position Purpose:

To ensure appropriate risk assessment, due diligence, screening and monitoring is conducted  in accordance with policies and procedures, to help ensure that the company is not used to further financial crime

Primary duties will include: 

• Ensure that risk is assessed and documented and that higher risk situations are escalated to senior management
• Review systems of record to ensure that records are maintained, systems of record are up to date, and that notes and descriptions of actions taken etc are clear and comprehensive to support the audit trail of actions and decisions taken.
• Ensure that cases, e-mails and requests are processed promptly and appropriately
• Contribute to policies, procedures and training impacted by various projects; assist with effective roll-out, and implementation
• Support management and Head of Financial Crime Prevention EMEA and the wider business with information requests, remediation exercises and thematic reviews
• Ensure that ID and V of all customers and beneficial owners has been established and verified, where necessary, and that information to support this is kept up to date
• Ensure that customers, related parties, beneficial owners and transactions have been screened for sanctions, PEP exposure and adverse media
• Ensure that due diligence on customers and transactions has been undertaken in line with the required standards
• Develop and strengthen relationships across the organisation to promote best practice and ensure a good understanding of Financial Crime Prevention risk management requirements
• Other duties as assigned from time to time

To land this role you will need:

• A good understanding of a risk based approach to AML
• Previous AML/KYC onboarding, CDD review or client monitoring experience, preferably within an investment firm
• Ideally 4-6 years experience of working within a Client Onboarding/ Compliance/ Financial Crime/ department with exposure to Money Laundering, Sanctions and high risk markets
• Knowledge and background of money laundering regulations, corporate governance, GDPR, anti-bribery and corruption and tax compliance
• Knowledge of EU and UK Financial Services Regulation, MiFID, EMIR, SFTR would be an advantage
• Needs to be a confident decision maker, able to use good judgement and experience to articulate and document decision making rationale.
• Must be a team player
• Must be able to work independently
• Strong relationship building and communications skills are essential
• Effective planning, organisational and time management skills
• Must have excellent analytical skills
• Advanced Microsoft Outlook/Word/Excel/SharePoint skills
• A Professional Compliance or AML qualification
• Additional language skills would be an advantage in our global business environment.

Working environment:

• Hybrid