Overview:
Connecting clients to markets – and talent to opportunity
With 4,300 employees and over 400,000 retail and institutional clients from more than 80 offices spread across five continents, we’re a Fortune-100, Nasdaq-listed provider, connecting 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, The StoneX Group is made up of four segments that offer endless potential for progression and growth.
Business Overview
Institutional: Immerse yourself in the best-in-class institutional-grade technology, working alongside industry experts and gaining exposure to various asset classes, such as equities, options, fixed income securities, and advanced trading, research, and management technology.
ResponsibilitiesPosition Purpose
Support the onboarding process of new FCM accounts within the Clearing and Execution Services division at StoneX by conducting comprehensive reviews of client account applications and meticulously assessing KYC documentation. Collaborate closely with compliance to ensure all regulatory requirements are met, facilitating a seamless and fully compliant client onboarding experience.
Primary Duties:
Lead and oversee all aspects of the FCM client onboarding process to ensure full compliance with regulatory requirements and internal control standards
Ensure completion and integrity of all client due diligence and KYC requirements prior to submitting for compliance approval, in alignment with applicable AML regulations
Perform detailed reviews of onboarding documentation to validate accuracy, completeness, and compliance with regulatory expectations for FCM clients.
Identify, assess, and elevate potential AML/KYC risks, discrepancies, or red flags to Compliance, AML, and Legal teams throughout onboarding and ongoing review processes
Conduct comprehensive analysis of client ownership structures and control relationships using corporate documentation and external sources to satisfy regulatory due diligence requirements
Serve as a key liaison with Compliance and Legal to ensure proper documentation, regulatory approvals, and agreement execution
Support institutional futures brokers by assisting with onboarding requirements, ensuring adherence to compliance standards, and identifying potential regulatory risks during the client intake process
Respond to client and internal inquiries with a focus on the FCM regulatory requirements, onboarding status, and compliance obligations
QualificationsQualifications:
3+ years of FCM (futures and options) account onboarding experience
Detailed understanding of client onboarding requirements by client type in accordance with US regulations and FINCEN standards is critical for success in this role.
Experience delivering superior client service through proactive daily routine, internal relationship-building for problem solving, and creative solutions
Superior client engagement skills with ability to react, prioritize and multitask
Attention to detail, organization, prioritization, and time management skills
Must be authorized to work in the US
Hiring Salary Range $120,000 - $140,000 (Salary to be determined by the education, experience, knowledge, skills and abilities of the applicant, internal equity and alignment with market data.) Subject to business performance and recommendations of management, this role may be eligible to participate in an incentive compensation plan. This compensation package, in addition to a full range of medical, financial, and/or other benefits, dependent on the position, is offered
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