Compliance Onboarding Associate

Overview

Connecting clients to markets – and talent to opportunity. With 5,400+ employees and over 80,000 institutional, commercial, and payments clients, we operate from more than 80 offices spread across six continents. As a Fortune 100, Nasdaq‑listed provider, we connect clients to the global markets – focusing on innovation, human connection, and providing world‑class products and services to all types of investors.

Whether you want to forge a career connecting our retail clients to potential trading opportunities, or ingrain yourself in the world of institutional investing, Stone

X Group is made up of four business segments that offer endless potential for progression and growth.

Business Segment Overview

Corporate: Engage in a deep variety of business‑critical activities that keep our company running efficiently. From strategic marketing and financial management to human resources and operational oversight, you’ll have the opportunity to optimize processes and implement game‑changing policies.

Position

Purpose:

Handles compliance review and approval of new customer accounts, checks documentation for various legal entities, communicates deficiencies, escalates high‑risk cases for enhanced due diligence, answers onboarding questions, and ensures complete KYC records are collected during onboarding.

Primary duties will include:

• Reviews documentation and approves or denies new customers’ applications for different Stone
  
  X divisions.
• Responsible for ensuring a smooth process in handling all aspects of onboarding a new customer.
• Ensures completion of the client due diligence process during onboarding and ensures KYC (Know Your Customer) requirements are completed, previous approval of new accounts.
• Communicate inconsistencies between the application packet and supporting documentation received, to front office personnel.
• Identifies and escalates potential KYC concerns to AML and Legal Teams during onboarding and ongoing review processes.
• Conducts analysis on the ownership structure of prospective customers via publicly available source or company documentation to meet full KYC due diligence.
• Works with internal teams to complete regulatory reviews for all potential customers.
• Responds to queries regarding the status of specific account applications during the review/approval process.
• Coordinates closely with cross‑functional areas including operations, legal, sales & trading, and senior management to provide training to front office personnel on customer due diligence and KYC requirements.
• Participate in projects within Unit to enhance the client on‑boarding experience.
• Identifies potential areas for enhanced processing and automation of manual processes during onboarding.
• Assists in the development and improvement of policies and procedures for the Onboarding team.
• Assists with ad‑hoc projects and reviews as needed.
• Maintains prompt and regular attendance.
• This list of duties and responsibilities is not intended to be all‑inclusive and can be expanded to include other duties or responsibilities that management deems necessary.

To land this role you will need:

• Strong working knowledge of AML, KYC, FINCEN CDD Rule, CIP, OFAC and PATRIOT Act requirements and regulations.
• Must have a good understanding of customer types, complex corporate structures and documentation aligned to customer due diligence requirements.
• Skilled in researching, interpreting, and disseminating information on compliance regulations and laws.
• Strong organization skills and attention to detail.
• Demonstrated proficiency using Microsoft Office.
• Ability to effectively present information and respond to questions from groups of managers, customers, and the general public.
• Effective written and oral communication skills.

What makes you stand out:

• 1 to 2 years of customer onboarding experience
• Futures industry experience

Education / Certification Requirements:

• Bachelor’s Degree, preferably in Finance or Business

Working Environment:

• 4 days per week onsite, 1 day per week remote

• Demonstrated ability working with people in connection with challenging issues.
• Ability to manage multiple tasks and ability to adapt to changing priorities in a fast‑paced environment.
• Ability to work independently.
• Travel flexibility, approximately 5%–10% of the time.
• Must be authorized to work in the US for any employer.