Senior AML Compliance Associate
About the position 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.
Location: Miami, FL or Warren, NJ Job purpose:
The
Senior AML Compliance Associate is responsible for conducting financial crime compliance investigations involving high-risk customers. Core responsibilities include performing enhanced due diligence on existing accounts subject to AML reviews, as well as carrying out periodic activity assessments. The individual will handle escalations and inquiries within the AML function, evaluate information to identify risk factors, and deliver well-documented assessments to AML Officers based on investigative research.
The role requires strong expertise in reviewing complex corporate account structures, proven experience in conducting in-depth due diligence on high-risk customers, and good knowledge of key U.S. regulatory requirements, including the FinCEN CDD Rule, Bank Secrecy Act (BSA), USA PATRIOT Act, and OFAC sanctions compliance. Responsibilities • Conduct financial crime compliance investigations on high-risk customers. • Perform enhanced due diligence (EDD) reviews of existing customer accounts. • Carry out periodic activity assessments to identify unusual or suspicious patterns.
• Manage escalations and inquiries within the AML function. • Evaluate customer information, assess risk factors, and provide clear, documented findings to AML Officers. • Support the AML program by ensuring adherence to regulatory requirements. • Handle AML escalations Requirements • Must have 2-5 years previous experience working directly in AML Financial Crime Compliance Department within Financial Services (Private Banking, Broker Dealer or Wholesale/Investment Banking) • Conduct financial crime investigations/extensive enhanced due diligence and activity reviews • Must have experience performing customer activity reviews • Actively contribute in projects and enhancements within the AML Department • Provide written assessment of findings • Must have good communication and writing skills • Ability to collaborate, build relationships and work across the organization in a multi-site matrix environment • Must have experience using investigation tools such as Lexis Nexis, Dow Jones/Factiva or similar systems • CAMS Certified (or willing to obtain within 18 months) • Bachelor's degree/University degreeApply Now
Apply Now
The StoneX Group is made up of four segments that offer endless potential for progression and growth.
Location: Miami, FL or Warren, NJ Job purpose:
The
Senior AML Compliance Associate is responsible for conducting financial crime compliance investigations involving high-risk customers. Core responsibilities include performing enhanced due diligence on existing accounts subject to AML reviews, as well as carrying out periodic activity assessments. The individual will handle escalations and inquiries within the AML function, evaluate information to identify risk factors, and deliver well-documented assessments to AML Officers based on investigative research.
The role requires strong expertise in reviewing complex corporate account structures, proven experience in conducting in-depth due diligence on high-risk customers, and good knowledge of key U.S. regulatory requirements, including the FinCEN CDD Rule, Bank Secrecy Act (BSA), USA PATRIOT Act, and OFAC sanctions compliance. Responsibilities • Conduct financial crime compliance investigations on high-risk customers. • Perform enhanced due diligence (EDD) reviews of existing customer accounts. • Carry out periodic activity assessments to identify unusual or suspicious patterns.
• Manage escalations and inquiries within the AML function. • Evaluate customer information, assess risk factors, and provide clear, documented findings to AML Officers. • Support the AML program by ensuring adherence to regulatory requirements. • Handle AML escalations Requirements • Must have 2-5 years previous experience working directly in AML Financial Crime Compliance Department within Financial Services (Private Banking, Broker Dealer or Wholesale/Investment Banking) • Conduct financial crime investigations/extensive enhanced due diligence and activity reviews • Must have experience performing customer activity reviews • Actively contribute in projects and enhancements within the AML Department • Provide written assessment of findings • Must have good communication and writing skills • Ability to collaborate, build relationships and work across the organization in a multi-site matrix environment • Must have experience using investigation tools such as Lexis Nexis, Dow Jones/Factiva or similar systems • CAMS Certified (or willing to obtain within 18 months) • Bachelor's degree/University degreeApply Now
Apply Now