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.

At StoneX, we offer you the opportunity to be part of an institutional-grade financial services network that connects companies, organizations, and investors to the global markets ecosystem. As a team member, you'll benefit from our unique blend of digital platforms, comprehensive clearing and execution services, personalized high-touch support, and deep industry expertise. Elevate your career with us and make a significant impact in the world of global finance.

Position Purpose:

The primary purpose of the role is to ensure the robustness and effectiveness of the transaction monitoring process within STONEX. The role plays a critical role in safeguarding the integrity of STONEX’s financial operations and mitigating potential risks to the business and its stakeholders.

General Duties

• Regulatory Compliance: Stay up to date with relevant regulations, guidelines, and best practices related to transaction monitoring, such as Anti-Money Laundering (AML), Counter-Terrorist Financing (CTF), and Know Your Customer (KYC) requirements
• Risk Identification and Assessment: Analyse financial transactions to identify potential risks and patterns of money laundering, fraud, and other financial crimes, and assess the severity of these risks based on established criteria
• Alert Investigation: Review alerts generated by the transaction monitoring system, conduct in-depth investigations to determine the legitimacy of flagged transactions, and escalate suspicious activities to the Head of Transaction Monitoring
• Process Improvement: Continuously assess the transaction monitoring processes, procedures, and controls, and recommend enhancements
• Team Coaching and Mentorship: the ability to coach and mentor other team members effectively to ensure transaction monitoring reviews meet established standards through guidance and support.
• Training and Awareness: Develop and deliver training programs to educate associates on transaction monitoring regulatory obligations, emerging trends in financial crimes, transaction analysis, and alert investigations
• MI and KPI Reports: Prepare weekly and monthly MI and KPI reports for the Head of Transaction Monitoring and senior management

Knowledge and Experience

• Strong understanding of financial crime prevention requirements in regulated financial institutions
• Minimum 3 years of experience in transaction monitoring as a senior or SME
• Knowledge of regulatory reporting and regulatory operations
• Excellent critical thinking, with the ability to analyse situations and solve problems.

Qualifications and Skills

• Bachelor's degree in Business Management, Law, or other appropriate discipline
• Strong and efficient decision-making skills with the ability to use judgment and operate autonomously when required
• Effective planning, organisational, and time management skills
• Strong relationship-building and communication skills
• Exceptional proficiency in the English language is required for this role

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