Chart your course with StoneX Careers

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.

The Portfolio Manager serves as a key member of the Wealth Solutions Team, responsible for portfolio construction, investment research, manager due diligence, alternative investment analysis, and advisor support. The role partners with financial advisors to deliver investment solutions, evaluate client portfolios, support prospect opportunities, and contribute to the development and oversight of Wealth Solutions investment offerings.

Responsibilities

Portfolio Management

• Assist in the design, construction, implementation, management, and monitoring of internally managed multi-asset, equity, and fixed-income portfolios
• Conduct portfolio analytics, performance attribution, risk analysis, rebalancing reviews, and investment implementation activities
• Research securities, funds, ETFs, and other investment vehicles for inclusion in Wealth Solutions portfolios
• Monitor portfolio holdings, market developments, and investment exposures to ensure alignment with portfolio objectives

Investment Due Diligence

• Conduct research and due diligence on third-party managers and investment strategies across traditional asset classes
• Evaluate managers based on investment philosophy, process, personnel, performance, risk management, and operational characteristics
• Assist in the evaluation, selection, and monitoring of alternative investment opportunities, including private equity, private credit, real assets, hedge funds, and structured solutions
• Maintain manager research files, due diligence reports, and ongoing monitoring materials

High Net Worth Consulting

• Partner with advisors serving high-net-worth clients and institutions by developing customized portfolio solutions tailored to client objectives, liquidity needs, tax considerations, risk tolerance, and existing asset holdings
• Analyze and recommend tax-aware investment strategies, including asset location, gain management, and concentrated position solutions
• Assist advisors with complex investment situations, including concentrated stock positions, legacy holdings, low-cost-basis assets, liquidity events, and other specialized portfolio challenges
• Provide enhanced portfolio oversight through ongoing monitoring, asset allocation guidance, manager selection, investment due diligence, and risk management support for larger and more sophisticated client relationships

Additional Responsibilities

• Support advisor education and communication efforts
• Partner with advisors to evaluate existing and prospective client portfolios and identify opportunities to improve portfolio construction, diversification, risk management, and investment outcomes. Prepare supporting materials as requested
• Respond to advisor requests and participate in advisor and manager meetings as requested
• Prepare reports, analyses, and meeting materials for internal and external stakeholders
• Maintain prompt and regular attendance
• Perform additional duties and special projects as assigned

The Deputy Chief Compliance Officer reports directly to the Chief Compliance Officer and supports the retail business lines of StoneX Wealth Management. This role is responsible for assisting in the design, implementation, and oversight of compliance programs across both broker-dealer and investment advisory operations. The ideal candidate will possess strong communication and writing skills, advanced analytical capabilities, and significant experience using Microsoft Excel for data management and regulatory reporting. The role requires the ability to manage multiple priorities in a fast-paced, highly regulated environment.

Responsibilities 

• Provide guidance to employees on compliance with the Code of Ethics (COE), Written Supervisory Procedures (WSPs), and applicable regulatory requirements
• Assist the CCO in coordinating and executing annual compliance reviews, including FINRA Rule 3120 and Advisers Act Rule 206(4)-7 reviews
• Perform recurring compliance monitoring and reporting functions, including review of surveillance reports, exception reporting, and supervisory controls
• Review supervisory activities related to advisory programs to ensure adherence to internal policies and regulatory standards
• Assist in drafting, reviewing, and maintaining regulatory disclosures, including Form CRS and Form ADV (Part 2 and Part 3)
• Prepare and file regulatory submissions for RIA entities and affiliated firms, including Forms ADV (1A), ADV-E, 13F, NP-X, 13H, and other required filings
• Review and approve marketing materials and internal communications for regulatory compliance, as needed
• Conduct regulatory research and assist in preparing responses to regulatory inquiries, audits, and examinations
• Assess and evaluate daily operations and implement automation where appropriate to streamline operating functions. Collaborate with cross functional compliance, AML and supervision teams to support daily initiatives
• Supervise staff that supports both investment advisory and broker dealer compliance initiatives
• Perform additional duties as required to support the compliance function and broader business needs

StoneX Pro’s FX Sales Team is the engine that drives our global customer reach and revenue. As an FX Sales Director at StoneX Pro, you will be responsible for identifying potential clients, nurturing prospective customer relationships and closing deals to meet ambitious sales goals.

Primary duties will include: 

• Grow a book of institutional and commercial clients trading FX, focusing on clients such as brokers, banks, hedge funds, asset managers, & MSBs
• Focus on selling all products including spot, forwards, swaps, derivatives and physical delivery where needed
• Leverage existing relationships to make a timely impact to revenue out of the gate, building a proper foundation to work off of and help grow the existing mature business in the Americas
• Work closely with various teams to ensure a smooth onboarding and overall customer experience, including onboarding, compliance, trading and risk
• Continue to have a strong pipeline of potential customers, by networking, attending industry events, updating and tracking pipeline on a regular basis
• Cross sell customers within StoneX Group
• Follow a sales lead management process in salesforce and ensuring that lead information is up to date and accurate.
• 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

Responsibilities include but are not limited to:

• Support day-to-day administrative operations to help the firm run efficiently
• Help maintain client accounts and records with a high level of accuracy and confidentiality
• Coordinate communication between brokers, clients, and internal teams
• Support documentation, reporting, and recordkeeping to meet industry standards
• Assist with account management functions, including updates, maintenance, and issue resolution
• Help monitor workflows and identify opportunities for process improvements to enhance productivity
• Assist with compliance-related tasks, audits, and regulatory reporting
• Provide administrative and operational support to leadership and brokerage staff
• Take on increasing ownership of responsibilities as you build expertis
• Support ad hoc projects and duties as assigned
• New Account Application Completion and Management
• ACH Process (submitting templates for set up)
• Push and Pull funds at the request of client or broker
• Track New Relationship Monthly Production - Submit totals quarterly upon request
• Answer phone and route to appropriate broker
• Submit maintenance requests on behalf of client or broker
• Assist clients with KYC outreach
• Communicate with back-office departments on account updates, changes or issues
• Submit necessary articles/emails/presentations on behalf of broker through red oak for compliance review/approval
• Send priority client text recommendations on behalf of broker team
• Post emails and newsletters on behalf of broker via Market Intelligence Author Dashboard
• Update Cash recommendation charts when applicable
• Send documents requiring signatures and audit trail via dropbox sign
• Send out necessary communications to team to keep them aware of important updates 
• Assist Regional Director with projects

Primary duties will include:

• Source event venues and send out RFPs
• Request and review hotel/venue and vendor contracts
• Put together meeting specifications
• Review BEOS
• Work with vendors (production, signage, transportation, décor, etc.)
• Work with the StoneX Graphic Design Team on event branding and signage
• Speaker management
• Agenda management 
• Create name badges, table tents and other meeting materials, as needed
• Review and test registration site (in Cvent)
• Review copy, as needed, for accuracy
• Ensure StoneX events are current on the company website
• Collaborate with Event Marketing and Central Marketing Teams, as needed
• Take ownership of or assist with assigned strategic initiatives in support of departmental and organizational goals
• Maintains prompt and regular attendance
• Serve as back-up for virtual events, when needed
• 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. 

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 duties will include: 

• 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

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.

• 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

Responsibilities: 

StoneX Job Description:   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 production activities such as periodic reviews, customer identification, and document processing. May assist with research and resolving teamwork items and performing job functions with a high level of attention to detail and excellent internal customer service. Works under the close direction of senior personnel in the respective team and expected to possess an understanding of general aspects of the job. 

Primary Accountabilities/Responsibilities:   

• Maintain prompt and regular attendance in office 

• Maintain an understanding of team expectations, project statues, and company policies 

• Shared responsibility for e-mail coverage and processing 

• Process customer data to verify identities of account holders 

• Assist on supporting KYC Refresh through ongoing customer reviews and processing of customer documentation 

• Perform adverse media, sanctions, and PEP screening on customers and affiliated party names utilizing firm screening vendors.  

• Understand different onboarding systems and customer platforms  

• Provide back-up coverage for various team specific tasks and responsibilities as needed 

• Assist with general questions and inquiries on account verification from customers as needed 

• Develop and maintain strong relationships with other departments & lines of business 

• Liaise with front office staff to coordinate additional outreach for updated client KYC documents and information as necessary.  

• Accomplish tasks as assigned 

• Track work cases and report to KYC Operations Management team on daily/weekly production statistics.  

• 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 

Position purpose: StoneX is looking to recruit a Program Manager to support the Securities Operations business, based out of Birmingham, Alabama. The successful candidate will have previous experience leading complex, large-scale technical program deliveries spanning multiple geographies, business units and platforms across the securities post-trade lifecycle. 

Working closely with the EPMO, Securities Operations leadership, the Global Middle Office, Technology, Product and third-party vendors, you will drive delivery of a strategic, multi-year transformation program – modernizing StoneX’s unified securities backbone (including platforms such as BETA, RTS, NIRA and OrderHub), advancing the Global Middle Office target operating model, and delivering real-time settlement capabilities. This is a great opportunity for someone who thrives in a fast-paced, challenging and collaborative working environment and who is results-driven.

Primary duties will include:

You will be responsible for driving overall delivery of a strategic program of work across Securities Operations. Your role is to define the different stages of implementation and ensure they are met. Your main roles and responsibilities will be as follows, but are not limited to: 

• Work with Securities Operations, Product, commercial teams and senior stakeholders to identify program scope and objectives across the trade lifecycle – order management, execution, clearing, settlement, reconciliation and reporting 
• Work with delivery teams and solution architects to build out agreed scope, define requirements and build robust plans for delivery across the securities platform estate (BETA, RTS, NIRA, OrderHub and related systems) 
• Define the projects and features that make up the program, bringing consensus to the most efficient way to deliver value to the organization as quickly as possible 
• Monitor and assess program performance, overseeing delivery of the projects and features that make up the program, ensuring completion on time, to scope and within budget 
• Take overall responsibility for ensuring everyone on the program is clear on what needs to happen, when it needs to happen by, how it is going to happen and who by 
• Identify, track and monitor dependencies across platforms, the Global Middle Office and downstream operations teams 
• Secure resource commitment and hold teams to account 
• Identify high-level risks and issues and track them through to resolution, escalating where needed 
• Partner with Operations, Risk, Compliance and Technology to ensure regulatory and control requirements are embedded in delivery 
• Report on program progress, including spend to date (hrs and $) 
• Clearly, concisely and accurately communicate program progress at regular intervals to sponsors and steering committees 
• Build relationships with stakeholders, delivery teams, vendors and EPMO team members 
• Identify, address and resolve differences between individuals and/or interest groups