Overview:
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 invest
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.

KNOWLEDGE AND EXPERIENCE

• Previous AML/KYC onboarding, CDD review or client monitoring experience, preferably within an investment firm
• Ideally 1-3 years experience of working within a Client Onboarding/ Compliance/ Financial Crime/ department with exposure to Money Laundering, Sanctions and high risk markets
• Some knowledge and background of money laundering regulations, corporate governance, GDPR, anti-bribery and corruption and tax compliance
• Some knowledge of EU and UK Financial Services Regulation, MiFID, EMIR, SFTR would be an advantage

QUALIFICATION AND SKILLS

• Advanced Microsoft Outlook/Word/Excel/SharePoint skills
• Must be a team player
• Should be able to work independently
• Strong relationship building and communications skills are essential
• Should have effective planning, organisational and time management skills
• Must have excellent analytical skills and be able to think critically
• Should be able to use good judgement and experience to articulate and document decision making rationale
• Additional language skills would be an advantage in our global business environment.
  

  LI-AS

JOB 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 RESPONSIBILITIES:

• Ensure that ID and V of all customers and beneficial owners is 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 are screened for sanctions, PEP exposure and adverse media
• Ensure that due diligence on customers and transactions is undertaken in line with the required standards
• Ensure that risk is assessed and documented and that higher risk situations are escalated to senior management
• Ensure that cases, e-mails and requests are processed promptly and appropriately
• 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
• Other duties as assigned from time to time
  Qualifications: