Senior AML Advisory Lead – Broker-Dealer Compliance

StoneX Group Inc.; New Jersey; On-site; USD 90,000 - 135,000; Full time

Job summary

StoneX Group Inc. is seeking an experienced Anti-Money Laundering (AML) Advisory Team Lead to support the Chief AML Officer within the Broker-Dealer Securities Division.

The role focuses on implementing and guiding the AML Program with strong regulatory insight and cross-functional collaboration. The position requires at least 5 years in AML, deep knowledge of BSA/Patriot/OFAC/FinCEN/FINRA-SEC, and direct experience advising front office on CIP/KYC/CDD, EDD, and investigations.

Qualifications

• 5+ years of AML experience in BD advisory and KYC/CDD.
• Deep knowledge of BSA/USA PATRIOT Act, OFAC, FinCEN, FINRA/SEC.
• Experience advising front office on AML matters, esp. for HNW/UHNW.
• Ability to review complex KYC and EDD cases.
• Strong collaboration and communication skills.
• Must obtain CAMS within 12 months if not already held.

Responsibilities

• Maintaining an in-depth understanding of how BSA/USA PATRIOT Act, OFAC/Sanctions, FinCEN, and FINRA/SEC requirements apply to BD Clearing and Wealth Management.
• Supporting the AML advisory function for CIP/KYC/CDD onboarding, front office, operations/treasury.
• Handling AML escalations from front office, CIP/KYC/CDD onboarding, TM and other functions.
• Reviewing EDD escalations and evaluating complex account structures and transactions.
• Ensuring timely completion of cases and escalation of issues requiring AML management attention.
• Assisting with updating relevant policies and procedures.
• Compiling materials for independent audits and regulatory exams.
• Reviewing high-risk KYC cases for adherence to policies and standards.
• Acting as escalation point for CIP/KYC/CDD and EDD with onboarding teams.
• Providing ad hoc training on CIP/KYC/CDD requirements as needed.
• Collaborating with AML stakeholders on program enhancements.

Skills

AML regulations

CIP/KYC/CDD

EDD investigations

Broker-dealer knowledge

Regulatory engagement

Strong communication

CAMS designation

Education

CAMS designation preferred

Job description

StoneX Group Inc. is seeking an experienced Anti-Money Laundering (AML) Advisory Team Lead to support the Chief AML Officer within the Broker-Dealer Securities Division.

The role focuses on implementing and guiding the AML Program with strong regulatory insight and cross-functional collaboration. The position requires at least 5 years in AML, deep knowledge of BSA/Patriot/OFAC/FinCEN/FINRA-SEC, and direct experience advising front office on CIP/KYC/CDD, EDD, and investigations.