Compliance Onboarding Associate

5 days ago

Miami, FL, United States Stonex Group, Inc. Full time
Overview

The Company

Innovative, future-focused and collaborative, StoneX Group Inc. (NASDAQ: SNEX) is a global financial services firm with an entrepreneurial culture and a passion for providing world-class services to our clients. A Fortune-100 company with a nearly 100-year track record, with 3,300 employees and over 400,00 retail and institutional clients from more than 40 offices spread across five continents, we connect clients to the global markets - focusing on innovation, human connection, and providing world-class products and services to all types of investors.

Today's global financial markets offer a world of opportunities. To trade. To invest. To manage risk. And to grow. We believe in connecting every company, every organization, every trader, and every investor to every advantage they need to succeed in today's global markets ecosystem.

But that belief doesn't stop at our clients. We also believe in connecting every single one of our employees to every opportunity they need to succeed in their own careers, too. From an entrepreneurial culture to a collaborative environment working alongside highly skilled specialists, a career at StoneX also offers a world of opportunities. To invest in yourself. To achieve. And to grow.

Business Segment Overview

Corporate: Engage in a deep variety of business-critical activities that keep our company running efficiently. From strategic marketing and financial management to human resources and operational oversight, you'll have the opportunity to optimize processes and implement game-changing policies.

We Connect Clients to Markets.

Responsibilities

Position Purpose:

Responsible for the compliance review and approval of new customer account applications, examines documentation received for different legal entities and communicate deficiencies, escalates applications for enhance due diligence based on risk factors, address onboarding questions and makes 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 following divisions: FCM, SXM and Gain divisions.
  • 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.
  • Conducts analysis on the ownership structure of prospective customers via publicly available source or company documentation to meet full KYC due diligence.
  • 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.
  • Coordinates closely with cross-functional areas including operations, legal, sales & trading, and senior management to provide training to front office personnel on customer due diligence and KYC requirements.
  • Participate 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 in the development and improvement of policies and procedures for the Onboarding team.
  • 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.
  • This onsite role in Miami, FL offers compensation typical for entry-level financial services positions in the region.
Qualifications

Job Requirements:
  • Bachelor's degree in business, finance or related field or equivalent work experience
  • Must be located in or willing to relocate to Miami, FL.
  • Candidates graduating after December 2025 will not be considered.
  • Effective communication skills - oral and written, with an emphasis on customer service
  • Strong critical thinking and analytical skills with high attention to detail
  • Adaptable to change in a highly regulated industry
  • Proficiency in Microsoft Office 365 applications
Physical requirements/Working conditions:
  • Dynamic, time-sensitive environment
  • Regular fixed schedule, with some weekend work opportunities
  • Climate controlled office environment
  • Minimal physical requirements other than occasional light lifting of boxed materials
Working environment:
  • In-office


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