Compliance Analyst

Overview Overview Connecting clients to markets – and talent to opportunity With 4,300 employees and over 400,000 retail and institutional clients from more than 80 offices spread across five continents, we’re a Fortune-100, Nasdaq-listed provider, connecting clients to the global markets – focusing on innovation, human connection, and providing world-class products and services to all types of investors. At StoneX, we offer you the opportunity to be part of an institutional-grade financial services network that connects companies, organizations, and investors to the global markets ecosystem. As a team member, you'll benefit from our unique blend of digital platforms, comprehensive clearing and execution services, personalized high-touch support and deep industry expertise. Elevate your career with us and make a significant impact in the world of global finance. 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. Responsibilities Responsibilities: StoneX Job Description: Provide support for the team by performing work that is primarily routine in nature and specific to the team. Types of works performed may include data entry, including entering, compiling, and validating data, as well as other production activities such as periodic reviews, customer identification and document processing. May assist with research and resolving teamwork items and performing job functions with a high level of attention to detail and excellent internal customer service. Works under the close direction of senior personnel in the respective team and expected to possess an understanding of general aspects of the job. Primary Accountabilities/Responsibilities: Maintain prompt and regular attendance in office Maintain an understanding of team expectations, project statues and company policies Shared responsibility for e-mail coverage and processing Process customer data to verify identities of account holders Assist on supporting KYC Refresh through ongoing customer reviews and processing of customer documentation Perform adverse media, sanctions and PEP screening on customers and affiliated party names utilizing firm screening vendors. Understand different onboarding systems and customer platforms Provide back-up coverage for various team specific tasks and responsibilities as needed Assist with general questions and inquiries on account verification from customers as needed Develop and maintain strong relationships with other departments & lines of business Liaise with front office staff to coordinate additional outreach for updated client KYC documents and information as necessary. Accomplish tasks as assigned Track work cases and report to KYC Operations Management team on daily/weekly production statistics. Reliable in attaining expected results, timely and efficient Requires moderate supervision 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 Qualifications Qualifications Required: Strong critical thinking and analytical skills with high attention to detail Effective communication skills – oral and written, with an emphasis on customer service Proficiency in Microsoft Office 365 applications Education and/or Certifications: Bachelor’s degree in business, finance or related field or equivalent work experience Series 99, or equivalent (or ability to obtain within 2 months of employment) Working Environment: Full time onsite Ability to take direction, work independently and within a team environment Adaptable to change in a highly regulated industry #J-18808-Ljbffr