Senior FCP Associate
Overview:
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. 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
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 dateEnsure 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 standardsEnsure that risk is assessed and documented and that higher risk situations are escalated to senior managementEnsure that cases, e-mails and requests are processed promptly and appropriatelyReview 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.Contribute to policies, procedures and training impacted by various projects; assist with effective roll-out, and implementationSupport management and Head of Financial Crime Prevention EMEA and the wider business with information requests, remediation exercises and thematic reviewsDevelop and strengthen relationships across the organisation to promote best practice and ensure a good understanding of Financial Crime Prevention risk management requirementsOther duties as assigned from time to time
Qualifications:
Knowledge and ExperiencePrevious AML/KYC onboarding, CDD review or client monitoring experience, preferably within an investment firmIdeally 4-6 years experience of working within a Client Onboarding/ Compliance/ Financial Crime/ department with exposure to Money Laundering, Sanctions and high risk marketsKnowledge and background of money laundering regulations, corporate governance, GDPR, anti-bribery and corruption and tax complianceKnowledge of EU and UK Financial Services Regulation, MiFID, EMIR, SFTR would be an advantageQualification and SkillsBachelor’s Degree in Business, Law or other appropriate disciplineAdvanced Microsoft Outlook/Word/Excel/SharePoint skillsA Professional Compliance or AML qualificationMust be a team playerMust be able to work independently Strong relationship building and communications skills are essentialEffective planning, organisational and time management skills Must have excellent analytical skillsNeeds to be a confident decision maker, 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-Hybrid #LI-AS1
Apply Now
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. 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
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 dateEnsure 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 standardsEnsure that risk is assessed and documented and that higher risk situations are escalated to senior managementEnsure that cases, e-mails and requests are processed promptly and appropriatelyReview 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.Contribute to policies, procedures and training impacted by various projects; assist with effective roll-out, and implementationSupport management and Head of Financial Crime Prevention EMEA and the wider business with information requests, remediation exercises and thematic reviewsDevelop and strengthen relationships across the organisation to promote best practice and ensure a good understanding of Financial Crime Prevention risk management requirementsOther duties as assigned from time to time
Qualifications:
Knowledge and ExperiencePrevious AML/KYC onboarding, CDD review or client monitoring experience, preferably within an investment firmIdeally 4-6 years experience of working within a Client Onboarding/ Compliance/ Financial Crime/ department with exposure to Money Laundering, Sanctions and high risk marketsKnowledge and background of money laundering regulations, corporate governance, GDPR, anti-bribery and corruption and tax complianceKnowledge of EU and UK Financial Services Regulation, MiFID, EMIR, SFTR would be an advantageQualification and SkillsBachelor’s Degree in Business, Law or other appropriate disciplineAdvanced Microsoft Outlook/Word/Excel/SharePoint skillsA Professional Compliance or AML qualificationMust be a team playerMust be able to work independently Strong relationship building and communications skills are essentialEffective planning, organisational and time management skills Must have excellent analytical skillsNeeds to be a confident decision maker, 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-Hybrid #LI-AS1
Apply Now