AML Advisory Team Lead - Broker-Dealer Securities Division
$90,000–$125,000 year
On-siteNew York City, New York, United States or Haverstraw, New York, United States
Job Summary
Lead day-to-day coverage for the AML Compliance Program within the Broker-Dealer Securities Division, providing guidance to the front office on CIP/KYC/CDD, enhanced due diligence, and regulatory obligations. Handle escalations from operations and treasury, review complex account structures and transactions, and compile materials for independent audits and regulatory exams. Periodically evaluate current policies and collaborate with stakeholders to enhance the overall AML Program. This role supports the Chief AML Officer with industry best practices and requires strong experience in BSA, OFAC, and FINRA/SEC regulations. Salary range is $90,000-$125,000. StoneX Group connects clients to global markets through four business segments, offering institutional-grade technology and endless progression opportunities.
Required Qualifications
- Strong experience in AML and related AML, OFAC/Sanctions, FinCEN, and FINRA/SEC regulations and requirements
- At least 5 years of direct experience in AML specifically dedicated to the Business Line Advisory, KYC/CDD, or Enhanced Due Diligence & Investigations
- Experience with the broker-dealer correspondent clearing business (direct and indirect) line and understanding of the application of an AML Program to the relevant products or services involved
- Experience advising financial services front office teams, particularly with respect to HNW and UHNW customers, in connection with complex AML-related matters
- Ability to clearly communicate effective and practical solutions in response to AML issues escalated from the front office and other relevant stakeholders
- Good execution skills with attention to detail and focus on clear, realistic action steps and timelines
- Ability to make timely and effective decisions by appropriately assessing AML risk and exercising good judgement
Desired Qualifications
- CAMS designation preferred or must obtain with 12 months from hire
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