Senior AML Compliance Specialist

vor 3 Monaten

Frankfurt am Main, Hessen, Deutschland StoneX Vollzeit

Overview

Permanent, Full-time, hybrid #LI-Hybrid #LI-SD1

Connecting clients to markets – and talent to opportunity.

With a global workforce of 4,300 and a client base exceeding 400,000 across retail and institutional sectors, we are a Fortune-100, Nasdaq-listed firm dedicated to linking clients with the international markets. Our focus is on innovation, human connection, and delivering top-tier products and services to a diverse range of investors.

Whether your goal is to advance your career by connecting retail clients with trading opportunities or to immerse yourself in institutional investment, The StoneX Group comprises four segments that provide limitless opportunities for growth and advancement.

Position Purpose:

The primary aim of this role is to deliver efficient and high-quality AML compliance support across various business functions within SFEG. You will provide guidance to local management and, when necessary, the Board of Directors on actions and strategies to effectively manage statutory, regulatory, and operational risks, ensuring that the business operates in a compliant manner.

Key Responsibilities:


• Collaborate closely with SFEG Senior Management, Compliance (Other EMEA), and Chief MLRO EMEA to establish a robust framework for AML, ABC, CFT, and sanctions controls across SFEG.

• Ensure that policies, procedures, and controls designed to prevent money laundering and terrorist financing are established, regularly updated, and effectively communicated in accordance with the German Anti-Money Laundering Act and supervisory authority guidelines.

• Conduct a gap analysis of existing policies and procedures against relevant AML/CFT regulations and best practices applicable to the business.

• Verify that customer onboarding processes comply with applicable legal and regulatory standards.

• Review alerts and escalations from various business areas, ensuring SFEG Senior Management approval in higher-risk scenarios.

• Investigate suspicious activities and report any suspicious transactions to the Financial Intelligence Unit (FIU). The AML Officer will have comprehensive access to all necessary data, documents, and systems for investigations.

• Prepare and submit relevant external reports on AML, CTF, ABC, and sanctions to the appropriate authorities (e.g., BaFin, LKA) in a timely and accurate manner.

• Oversee the provision of any outsourced AML/CTF, ABC, or sanctions-related services, escalating concerns to the service provider, SFEG Senior Management, Compliance (Other EMEA), and Chief MLRO EMEA.

• Provide timely notifications and management information to SFEG Senior Management, including data required for the Financial Crime Prevention Risk Management Framework and its oversight.

• Establish and maintain ongoing internal monitoring, testing, and reporting to Senior Management regarding the effectiveness of the AML, ABC, CFT, and sanctions program.

• Lead SFEG's response to information requests from German supervisory authorities and other competent bodies.

• Develop and refine the business's ML/TF risk assessment for SFEG, ensuring a comprehensive inventory of all ML/TF risks.

• Assist internal and external audits in preparing for regular assessments of SFEG concerning AML/CFT, ABC, and sanctions, diligently following up on any recommendations.

• Monitor relevant laws and regulations pertaining to AML/CTF, particularly ensuring compliance with German Money Laundering Regulations and utilizing findings from government or FATF reports concerning AML/CTF in relevant jurisdictions.

• Maintain an inventory of essential AML/CTF laws and regulations accessible to all staff.

• Advise Senior Management on pertinent laws, regulations, and best practices, keeping them informed of developments in these areas.

• Provide training and support to employees, particularly in establishing and maintaining adequate arrangements for awareness and training regarding German AML/CTF, as well as conducting annual reliability examinations of staff in accordance with German AML regulations.

• Assist the MLRO in establishing, managing, and maintaining a risk-based Financial Crime Prevention (FCP) annual plan.

• Support the MLRO in preparing an annual MLRO report.

• Participate in ad-hoc projects as required.

• Attend relevant workshops, training sessions, and external seminars to stay updated on AML/CTF matters.

• Provide ongoing advice and support within SFEG.

Qualifications:


• 3 to 5 years of relevant experience in compliance and AML.

• Strong organizational skills.

• In-depth knowledge of German financial crime laws, regulations, and industry practices.

• Excellent analytical skills.

• Strong interpersonal abilities.

• Effective problem-solving skills.

• Proactive mindset with a creative approach to challenges.

• High level of integrity.

• Ability to manage stress and demonstrate flexibility in task management.

• Capacity to work independently with minimal supervision.

• Proficient in both German and English.

• Strong communication and listening skills.

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