Chart your course with StoneX Careers

Position Purpose:

Client Management Associates are responsible for responding to client inquiries in an accurate and timely manner through phones, chats or emails. Associates accurately apply procedural knowledge and guidelines to client calls, chats & emails while developing and managing client relationships.

Primary duties will include:

• Being part of a team dedicated to handling all aspects of the customer experience
• Handle incoming trading inquiries and client issues via phone, email and live, interactive chat
• Trade research/Quotes
• Provide client support by answering inbound phone calls and/or e-mail regarding accounts, policies, services and available products
• Place Spot FX, CFD’s and Commodity trades, provide quotes and facilitate discussions regarding equity markets, fixed income markets, international markets and economic conditions
• Engage client in meaningful dialogue and identify unstated needs or financial goals that may be achieved by further utilizing company services, products or tools
• Work in a fast-paced and dynamic environment by assisting clients and delivering solutions-focused results
• Facilitate inbound/outbound opening of new accounts for potential clients who already indicated interest in our platform and provide support for existing customers
• Desire to learn and utilize new concepts related to industry licensing, regulations, policies/procedures, available programs/services
• Excellent consultative, rapport-building, listening and communication skills
• Demonstrate a positive and professional image at all times

General Duties

• Monitoring the risk of client and firm positions against approved mandates and escalating any breaches where required
• Ensuring timely completion of daily / periodic items
• Assist in the creation and analysis of risk reports and escalating issues to management where required
• Monitor intraday price movements and stay abreast of market developments which could impact the company and / or clients
• Support the analysis of client requests and assist with approvals in line with delegated authority.
• Support the preparation and analysis of stress tests, particularly ahead of periods of expected market volatility.
• Assist in maintaining Market Risk procedures and documentation.
• Ad hoc duties as required

Job Purpose

The Compliance Analyst is responsible for supporting and executing SFEG's Compliance and AML framework, ensuring that regulatory obligations are met, internal controls operate effectively, and business activities remain aligned with applicable laws, regulations, and internal policies.

The role contributes directly to the development and maintenance of a sound compliance culture across SFEG and its European operations and supports the successful implementation of strategic initiatives, acquisitions, business expansion activities, and regulatory projects.

Length of FTC : 12 month

Key Responsibilities

Compliance Monitoring & Controls

• Execute, coordinate, document, and continuously enhance the Compliance Monitoring Plan and the Outsourcing monitoring framework.
• Perform compliance and AML monitoring activities and thematic reviews.
• Track, document, and follow up on remediation actions arising from monitoring activities, audits, and regulatory reviews.
• Review evidence and documentation submitted by business functions and outsourced service providers.

Policies, Procedures & Governance

• Draft, review, maintain, and enhance compliance and AML policies, procedures, and governance documentation.
• Support the implementation of new regulatory requirements through policy updates and control enhancements.
• Assist in maintaining a consistent governance framework across European operations and group entities.

Regulatory Change Management

• Monitor regulatory developments affecting SFEG and other relevant group entities.
• Conduct regulatory impact assessments and support implementation projects.
• Assist with regulatory initiatives including organisational changes, business expansions, and new product approvals.

AML & Financial Crime Compliance

• Support the AML Officer in fulfilling AML-related responsibilities.
• Participate in AML control activities, risk assessments, and internal control framework enhancements.
• Assist in maintaining effective AML governance, client due diligence oversight, and documentation standards.

Client & Business Oversight

• Maintain oversight of client documentation and client review processes.
• Support KYC and regulatory client requests.
• Assist business teams with compliance and AML-related queries and provide day-to-day advisory support.

Branch & Cross-Border Compliance

• Support compliance oversight of SFEG's branches and cross-border activities, including Dublin, Madrid, Luxembourg, and future locations.
• Monitor adherence to internal policies and regulatory requirements across multiple jurisdictions.
• Assist with the implementation of regulatory and governance requirements in newly established entities and branches.

Acquisitions & Business Integration

• Support the integration of acquired entities, business lines, and products into the existing Compliance and AML framework.
• Participate in governance, policy, and control harmonisation projects.

Audit & Regulatory Examination Support

• Support internal audits, external audits, WpHG/MiFID II audits, and regulatory examinations.
• Coordinate the collection, preparation, and organisation of audit documentation.
• Track audit findings and support timely remediation efforts.

Compliance Training & Awareness

• Support the development and delivery of Compliance and AML training programmes.
• Promote awareness of regulatory obligations, including Gifts & Entertainment, Personal Account Dealing, Conflicts of Interest, AML, and market conduct requirements.
• Contribute to the development of compliance communications across Europe.

Group Support

• Provide compliance support to other StoneX Group entities where appropriate.
• Assist with the establishment and ongoing compliance framework of new regulated entities, including Ireland and other future European operations.

The AML Department manages the anti-money laundering/sanctions/financial crime compliance and regulatory obligations applicable to the Firm’s businesses. We are looking for an experienced Anti-Money Laundering/Financial Crime Compliance subject matter expert specifically dedicated to supporting the Chief AML Officer covering the Broker-Dealer (BD) Securities Division. In this role, the AML Advisory Team Lead will be responsible for handing day-to-day coverage associated with the AML Compliance Program (AML Program) factoring in industry “best practices” and providing guidance to the front office and cross-department stakeholders. This position will involve, among other tasks, responding to the front office inquiries regarding customer-related matters; advising on CIP/KYC/CDD and other AML requirements; analyzing enhanced due diligence (EDD) reviews to evaluate customer risk and providing clearance; handling activity and adverse media alert escalations for further review; working with independent auditor(s) and regulators to provide information being requested. The role will also include evaluating current policies and processes on a periodic basis and working with other AML team members on joint projects to enhance the overall AML Program as needed.

Primary Responsibilities include but are not limited to:

• Maintaining an in-depth understanding of how Bank Secrecy Act (BSA)/USA PATRIOT Act, OFAC/Sanctions, FinCEN, and FINRA/SEC requirements apply in practice to all aspects of the Clearing (Direct and Indirect) and Wealth Management business lines in the BD Securities Division.
• Supporting the AML advisory function for the respective business line coverage (CIP/KYC/CDD onboarding, front office, operations/treasury, etc.).
• Handling and resolving AML escalations from the front office, CIP/KYC/CDD onboarding, operations/treasury, as well as other AML functions such as Transaction Monitoring (TM).
• Reviewing EDD escalations and evaluating complex account structures, issues, and transactions.
• Ensuring timely completion of assigned cases and escalation of issues that require AML management attention and/or review.
• Assisting with updating relevant policies and procedures
• Compiling and providing materials requested during independent audits and regulatory exams.
• Reviewing and providing feedback on complex or high-risk KYC cases, ensuring adherence to internal policy, regulatory standards, and quality benchmarks.
• Acting as a point of escalation for CIP/KYC/CDD and EDD Reviews and keeping an ongoing dialogue with onboarding team on a regular basis.
• Performing other duties as assigned by your line manager
• Providing ad hoc training & guidance on CIP/KYC/CDD requirements as needed; establish escalation path
• Collaborating with other AML stakeholders and first line functions connection with projects to enhance the existing AML Program.

Position Purpose: Support the brokers in all aspects of daily activities, allowing them to focus on generating commissions by servicing existing clients and marketing new clients.

Accountabilities/Responsibilities: 

• Accepts orders, changes and cancellations from customers and distributes to trade desk to place transaction.
• Notifies customers of filled orders, margin positions and other pertinent information.
• Reviews margin call list each morning and contacts each client to review their margin call.
• Ensures the accurate and timely processing of margin calls by communicating with the customer, financial contacts and StoneX Accounting office to address any wire transfer issues that occur.
• Reconciles accounts and updates customer information
• Maintains all documentation for wire requests, instructions and questions.
• Ensures new account paperwork is completed properly and requests additional information if needed.
• Prepares and maintains new account folders.
• Supervises the option expiration/futures delivery process.
• Performs various administrative duties as needed.

Primary Accountabilities/Responsibilities:

• Accepts orders, changes, and cancellations from customers via the telephone and distributes to trade desk to place transaction. (Contingent upon passing Series 3 exam)
• Notifies customers of filled orders, margin positions and other pertinent information.
• Reconciles accounts and updates customer information, including purchases and open orders.
• Maintains hedge records and research databases.
• Learns all the functions, strategies, and techniques to become an effective trade desk assistant.
• Completes risk management training curriculum including classroom instruction and on-site learning under the guidance of an experienced Risk Management Consultant(s).
• Develops expertise in the Cotton futures market and in external markets including but not limited to Forex, other agricultural markets.
• Helps manage day to day operational duties for supporting clients.
• Creates daily market reports to support the desk brokers' market commentaries.
• This list of responsibilities may not be all-inclusive and can be expanded to include other duties or responsibilities as needed.

Job Purpose

The role is customer facing and relationship driven ,responsible for supporting existing commercial clients( Agricultural businesses ) ,market report translation , account opening process and order processsing.

Roles and Responsibilities( not limited to) :-

• Interact with clients daily on order placement, execution and completion.
• Support the desk by answering phones, completing order tickets, and checking daily trades and afternoon prelims
• Deliver a consistently high standard of service to internal and external clients
• Respond to client requests promptly, follow through to resolution, and escalate to a senior team member where appropriate
• Work proactively and collaboratively with the wider teams
• Maintain accurate records and documentation

Position Purpose:
Provide support for a specific Operations team by performing work that is primarily routine in nature and specific to that team. Types of work performed may include data entry, including entering, compiling, and validating data, as well as other clerical production activities such as proof, reconciliation and posting. May assist with research and resolving basic problems and perform with a high level of attention to detail and excellent customer service. Works under the close direction of senior personnel in the respective team and expected to possess a moderate understanding of general aspects of the job.

Primary Accountabilities/Responsibilities:

• Maintain prompt and regular attendance
• Maintain an understanding of team expectations and company policies
• Shared responsibility for team phone and e-mail coverage
• Provide back-up coverage for various team-specific tasks and responsibilities as needed
• Keep management informed on any unusual requests and potential issues
• Assist with general questions and inquiries from customers as needed
• Develop and maintain strong relationships with other departments & lines of business
• Identify potential new processes or applications that would increase both efficiencies and accuracy within the team to keep pace with the ever-changing environment
• Accomplish tasks as assigned
• Meet and occasionally exceed job expectations
• Reliable in attaining expected results, timely and efficient
• Requires moderate supervision
• 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

Job Purpose: The associate is responsible for assisting senior team members across a variety of operational tasks in support of the fixed income group.  Attention to detail and the ability to handle duties across multiple systems/platforms is a must.  The individual must also be prepared to cross train within other areas to assist when needed. 

• Setup Accounts and Subaccounts within Internal System
• Allocate trades within Internal System and TOMS
• Call on and help reconcile failing transactions
• Assist in general Operations duties within Fixed Income Group
• Maintain an understanding of team expectations and company policies
• Shared responsibility for team phone and e-mail coverage
• Keep management informed on any unusual requests and potential issues
• Maintain 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

Job Description

Institutional Middle Office Associate Level I

Reports to: Special Handling Team lead

Company: StoneX Financial Inc.

Position Purpose:  Provide support for the team by performing work that is primarily routine in nature and specific to the team. Types of works performed may include data entry, including entering, compiling, and validating data, as well as other clerical production activities such as proof, reconciliation and posting. May assist with research and resolving basic problems and perform with a high level of attention to detail and excellent customer service. Works under the close direction of senior personnel in the respective team and expected to possess a moderate understanding of general aspects of the job.  

Primary Accountabilities/Responsibilities:

• Maintain prompt and regular attendance
• Maintain an understanding of team expectations and company policies
• Shared responsibility for team phone and e-mail coverage
• Assist on supporting OTC Market Making business clearing through BofAS and Pershing
• Understand different OMS & back-office systems
• Provide back-up coverage for various team specific tasks and responsibilities as needed
• Assist with general questions and inquiries from customers as needed
• Develop and maintain strong relationships with other departments & lines of business
• Accomplish tasks as assigned
• Meet and occasionally exceed job expectations
• Reliable in attaining expected results, timely and efficient
• Requires moderate supervision
• 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

Class:  Full-time, Non-exempt

Physical requirements/Working conditions:

• Dynamic, time-sensitive environment
• Regular fixed schedule, with occasional, but rare, travel, afterhours and weekend work opportunities
• Climate controlled office environment
• Required to work on some US holidays
• Minimal physical requirements other than occasional light lifting of boxed materials