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.

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.

The Compliance Onboarding Associate ensures new customer accounts align with regulatory and internal compliance standards. Responsibilities include reviewing and approving account documentation, identifying potential KYC/AML risks, and collaborating with internal teams to address deficiencies. The associate also contributes to process improvements that enhance the onboarding experience while maintaining full compliance.

You will be responsible for the compliance review and approval of new customer account applications. You will also examine documentation received for these applications, and will communicate deficiencies and escalate applications for enhance due diligence based on risk factors. You will also address onboarding questions, and make sure complete KYC records are collected during the onboarding process of new customers.

Essential Duties and Responsibilities:

• Reviews documentation and approves or denies new customer’s applications for the FCM division. 
• Responsible for ensuring a smooth process in handling all aspects of onboarding a new customer.
• Ensures completion of the client due diligence process during onboarding and ensures KYC (Know Your Customer) requirements are completed previous approval of new accounts.
• Communicate inconsistencies between the application packet and supporting documentation received, to front
• office personnel.
• Identifies and escalates potential KYC concerns to AML and Legal Teams during onboarding and ongoing review
• processes.
• Partners with internal teams to ensure regulatory reviews on all prospective customers are performed.
• Responds to queries regarding the status of specific account applications during the review/approval process.
• Participates in projects within unit to enhance the client on-boarding experience.
• Identifies potential areas for enhanced processing and automation of manual processes during onboarding.
• Assists with ad-hoc projects and reviews as needed.
• Maintains prompt and regular attendance.
• This list of duties and responsibilities is not intended to be all-inclusive and can be expanded to include other duties or responsibilities that management deems necessary.

• Bachelor’s degree in Finance or Business preferably.
• 1 to 2 years of customer onboarding experience in the Futures Industry. Preferably, but not required.
• Strong working knowledge of AML, KYC, FINCEN CDD Rule, CIP, OFAC and PATRIOT Act requirements and regulations.
• Must have a good understanding of documentation aligned to customer due diligence requirements.
• Skilled in researching, interpreting, and disseminating information on compliance regulations and laws.
• Demonstrated ability working with people in connection with challenging issues.
• Strong organization skills and attention to detail.
• Demonstrated proficiency using Microsoft Office.
• Ability to manage multiple tasks and ability to adapt to changing priorities in a fast-paced environment.
• Ability to effectively present information and respond to questions from groups of managers, customers, and the general public.
• Ability to work independently.
• Effective written and oral communication skills.

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