Senior AML Advisory Lead - Front Office Compliance

StoneX Group Inc.; New Jersey; On-site; USD 90,000 - 125,000; Full time

Job summary

StoneX Group Inc. is seeking an experienced Anti-Money Laundering Advisory Team Lead to support the Broker-Dealer Securities Division with CIP/KYC/CDD onboarding, EDD reviews, and regulatory compliance across BD and Wealth Management lines.

You will respond to front office inquiries, provide practical AML guidance, and collaborate across departments to strengthen the AML Program. CAMS is preferred or can be obtained within 12 months of hire.

Qualifications

• 5+ years direct AML experience in BD advisory, KYC/CDD, or EDD investigations.
• Experience with broker-dealer clearing, direct or indirect AML application.
• Advising front office teams on AML matters for HNW/UHNW customers.
• Strong collaborative and cross-department teamwork.
• Clear communication of AML solutions to stakeholders.
• Ability to assess AML risk and exercise good judgment.
• CAMS designation preferred or to be obtained within 12 months.

Responsibilities

• Maintain understanding of BSA/USA PATRIOT Act, OFAC/Sanctions, FinCEN, and FINRA/SEC requirements for Clearing and Wealth Management in the BD Securities Division.
• Support AML advisory function for onboarding and front-office teams.
• Handle and resolve AML escalations from the front office and other AML functions.
• Review EDD escalations and evaluate complex account structures and transactions.
• Ensure timely completion of assigned cases and escalate issues requiring AML attention.
• Assist with updating relevant policies and procedures.
• Compile materials for independent audits and regulatory exams.
• Review high-risk KYC cases for adherence to policy and standards.
• Act as escalation point for CIP/KYC/CDD and EDD reviews.
• Provide ad hoc training on CIP/KYC/CDD requirements.
• Collaborate with AML stakeholders on projects to enhance the AML Program.

Skills

AML regulations

KYC/CDD onboarding

EDD investigations

BSA/Patriot Act compliance

OFAC/FinCEN/FINRA regulation

audits/regulators liaison

CAMS designation

Job description

StoneX Group Inc. is seeking an experienced Anti-Money Laundering Advisory Team Lead to support the Broker-Dealer Securities Division with CIP/KYC/CDD onboarding, EDD reviews, and regulatory compliance across BD and Wealth Management lines.

You will respond to front office inquiries, provide practical AML guidance, and collaborate across departments to strengthen the AML Program. CAMS is preferred or can be obtained within 12 months of hire.