Senior AML Advisory Lead – Broker-Dealer

StoneX Group Inc.; Miami (FL); On-site; USD 90,000 - 135,000; Full time

Job summary

StoneX Group Inc. in the United States is seeking an AML Advisory Team Lead to guide the AML program for the Broker-Dealer Securities Division.

You will respond to front office inquiries, advise on CIP/KYC/CDD, and review EDD cases to ensure compliance with applicable laws and regulations. The role requires a 5+ year AML background, strong communication, and the CAMS designation (or willingness to obtain it within 12 months).

Qualifications

• Minimum 5 years direct AML experience in advisory/KYC/CDD/EDD.
• Experience with broker-dealer clearing business and applying AML programs.
• Experience advising front office on AML matters for HNW/UHNW clients.
• CAMS designation preferred or must obtain within 12 months.

Responsibilities

• Maintain understanding of BSA/USA PATRIOT Act, OFAC/Sanctions, FinCEN, and FINRA/SEC requirements in practice for BD Securities and Wealth Management.
• Support AML advisory function for respective business line coverage (CIP/KYC/CDD onboarding, front office, operations/treasury).
• Handle and resolve AML escalations from front office and onboarding; review TM and other AML functions.
• Review EDD escalations and evaluate complex accounts, issues, and transactions.
• Ensure timely completion of cases and escalate as needed to AML management.
• Assist with updating relevant policies and procedures; participate in audits/regulatory exams.
• Provide ad hoc training and guidance on CIP/KYC/CDD requirements; establish escalation path.
• Collaborate with other AML stakeholders and lines of business on AML program enhancements.

Skills

AML experience

Regulatory knowledge

Stakeholder collaboration

Communication skills

Decision making

Job description

StoneX Group Inc. in the United States is seeking an AML Advisory Team Lead to guide the AML program for the Broker-Dealer Securities Division.

You will respond to front office inquiries, advise on CIP/KYC/CDD, and review EDD cases to ensure compliance with applicable laws and regulations. The role requires a 5+ year AML background, strong communication, and the CAMS designation (or willingness to obtain it within 12 months).