AML Advisory Team Lead — Broker-Dealer Securities

StoneX Group Inc.; New York (NY); On-site; USD 90,000 - 135,000; Full time

Benefits offered by this job

Medical benefits

Incentive compensation plan

Job summary

StoneX Group Inc. in New York seeks an AML Advisory Team Lead to oversee day-to-day coverage of the AML Program within the Broker-Dealer Securities Division.

You will advise on CIP/KYC/CDD, review EDD, and manage escalations across front office and operations. The role requires deep knowledge of BSA/USA PATRIOT Act, OFAC, FinCEN, FINRA/SEC rules, and experience guiding front-line teams on complex AML matters.

Qualifications

• Minimum 5 years of AML experience focused on advisory for Broker-Dealer/Wealth/Direct & Indirect lines.
• Experience advising front office on CIP/KYC/CDD onboarding and escalations.
• Strong understanding of BSA/USA PATRIOT Act, OFAC, FinCEN, FINRA/SEC rules and applicability.
• Proven ability to collaborate across AML, compliance, operations, and business units.

Responsibilities

• Maintain in-depth knowledge of applicable AML regulations and how they apply to Broker-Dealer and Wealth Management lines.
• Support the AML advisory function for onboarding, front office, and operations.
• Handle and resolve AML escalations from the front office and other functions.
• Review EDD cases and evaluate complex account structures and transactions.
• Ensure timely closure of cases and raise issues for AML management.
• Assist with updating policies and procedures; support audits/regulatory exams.
• Provide feedback on high-risk KYC cases ensuring policy and regulatory compliance.
• Act as escalation point for CIP/KYC/CDD and EDD reviews; maintain dialogue with onboarding.
• Deliver ad hoc CIP/KYC/CDD guidance and training as needed.
• Collaborate with AML stakeholders on program enhancements.

Skills

AML regulations

KYC/CDD

EDD investigations

Front office advisory

Regulatory knowledge

Education

CAMS designation

Job description

StoneX Group Inc. in New York seeks an AML Advisory Team Lead to oversee day-to-day coverage of the AML Program within the Broker-Dealer Securities Division.

You will advise on CIP/KYC/CDD, review EDD, and manage escalations across front office and operations. The role requires deep knowledge of BSA/USA PATRIOT Act, OFAC, FinCEN, FINRA/SEC rules, and experience guiding front-line teams on complex AML matters.