Senior FCP Associate Quality Assurance

Connecting clients to markets and talent to opportunity.

With 4500 employees and over 300000 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.

• Ensure that risk is assessed documented and that higher-risk situations are escalated to senior management.
• Review systems of record to confirm that records are maintained accurately are up to date and that notes and descriptions of actions taken are clear and comprehensive to support a strong audit trail of decisions.
• Ensure that cases e-mails and requests are processed promptly and appropriately.
• Contribute to policies procedures and training impacted by various projects; assist with effective roll-out and implementation.
• Support management the Head of Financial Crime Prevention EMEA and the wider business with information requests remediation exercises and thematic reviews.
• Ensure that identification and verification of all customers and beneficial owners has been established and verified where required and that supporting information is kept current.
• Ensure that customers related parties beneficial owners and transactions have been appropriately screened for sanctions PEP exposure and adverse media.
• Ensure that due diligence on customers and transactions has been undertaken in line with required standards.
• Develop and strengthen relationships across the organisation to promote best practice and ensure a strong understanding of Financial Crime Prevention risk management requirements.
• Other duties as assigned from time to time.

To land this role you will need:

• A good understanding of a risk-based approach to AML.
• Previous AML/KYC onboarding CDD review or client monitoring experience preferably within an investment firm.
• Ideally 4-10 years experience of working within a Financial Crime Quality Assurance department with exposure to Money Laundering Sanctions and high-risk markets.
• Knowledge and background of money laundering regulations corporate governance GDPR anti-bribery and corruption and tax compliance.
• Knowledge of EU and UK Financial Services Regulation MiFID EMIR SFTR would be an advantage.

Qualification and Skills

• Needs to be a confident decision maker able to use good judgement and experience to articulate and document decision making rationale.
• Must be a team player.
• Must be able to work independently.
• Strong relationship building and communications skills are essential.
• Effective planning organisational and time management skills.
• Must have excellent analytical skills.

What makes you stand out:

• Advanced Microsoft Outlook/Word/Excel/SharePoint skills.
• Additional language skills would be an advantage in our global business environment.

Education / Certificates

• Bachelors Degree in business law political science sociology and / or other appropriate discipline.
• Professional Compliance or AML qualification.

Working environment:

• Hybrid; the role will be based in the office 4 days per week minimum.

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