AML Transaction Monitoring Lead

Connecting clients to markets and talent to opportunity

With 4300 employees and over 400000 retail and institutional clients from more than 80 offices spread across five continents were a Fortune100 Nasdaqlisted provider connecting clients to the global markets focusing on innovation human connection and providing worldclass products and services to all types of investors.

At StoneX we offer you the opportunity to be part of an institutionalgrade financial services network that connects companies organizations and investors to the global markets ecosystem. As a team member youll benefit from our unique blend of digital platforms comprehensive clearing and execution services personalized hightouch support and deep industry expertise. Elevate your career with us and make a significant impact in the world of global finance.

Position Purpose:

The primary purpose of the role is to ensure the robustness and effectiveness of the transaction monitoring process within STONEX. The role plays a critical role in safeguarding the integrity of STONEXs financial operations and mitigating potential risks to the business and its stakeholders.

General Duties

• Regulatory Compliance: Stay up to date with relevant regulations guidelines and best practices related to transaction monitoring such as AntiMoney Laundering (AML) CounterTerrorist Financing (CTF) and Know Your Customer (KYC) requirements
• Risk Identification and Assessment: Analyse financial transactions to identify potential risks and patterns of money laundering fraud and other financial crimes and assess the severity of these risks based on established criteria
• Alert Investigation: Review alerts generated by the transaction monitoring system conduct indepth investigations to determine the legitimacy of flagged transactions and escalate suspicious activities to the Head of Transaction Monitoring
• Process Improvement: Continuously assess the transaction monitoring processes procedures and controls and recommend enhancements
• Team Coaching and Mentorship: the ability to coach and mentor other team members effectively to ensure transaction monitoring reviews meet established standards through guidance and support.
• Training and Awareness: Develop and deliver training programs to educate associates on transaction monitoring regulatory obligations emerging trends in financial crimes transaction analysis and alert investigations
• MI and KPI Reports: Prepare weekly and monthly MI and KPI reports for the Head of Transaction Monitoring and senior management

Knowledge and Experience

• Strong understanding of financial crime prevention requirements in regulated financial institutions
• Minimum 3 years of experience in transaction monitoring as a senior or SME
• Knowledge of regulatory reporting and regulatory operations
• Excellent critical thinking with the ability to analyse situations and solve problems.

Qualifications and Skills

• Bachelors degree in Business Management Law or other appropriate discipline
• Strong and efficient decisionmaking skills with the ability to use judgment and operate autonomously when required
• Effective planning organisational and time management skills
• Strong relationshipbuilding and communication skills
• Exceptional proficiency in the English language is required for this role

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