Compliance Risk Officer
vor 3 Wochen
Overview
Permanent, Full-time, hybrid #LI-Hybrid #LI-SD1
Connecting clients to markets – and talent to opportunity.
With a global workforce of 4,300 employees and a diverse client base exceeding 400,000 retail and institutional clients across more than 80 offices worldwide, StoneX stands as a Fortune-100, Nasdaq-listed entity dedicated to bridging clients with the global markets. Our focus lies in innovation, fostering human connections, and delivering exceptional products and services tailored for all types of investors.
Whether your ambition is to cultivate a career linking retail clients with potential trading opportunities or to immerse yourself in the realm of institutional investing, StoneX comprises four segments that present limitless avenues for advancement and growth.
Position Purpose:
The role is designed to deliver efficient and high-quality AML compliance support across various sectors of the organization. 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 the business operates in a compliant manner.
Key Responsibilities:
• Collaborate closely with senior management, compliance teams across EMEA, and the Chief MLRO EMEA to establish a comprehensive AML, ABC, CFT, and sanctions control framework throughout the organization.
• Ensure that policies, procedures, and controls aimed at preventing money laundering and terrorist financing are current, communicated effectively, and compliant with the German Anti-Money Laundering Act and supervisory authority guidelines.
• Conduct a thorough gap analysis of existing policies and procedures against relevant AML/CFT regulations and best practices applicable to the business.
• Verify that client onboarding processes adhere to applicable legal and regulatory standards.
• Review alerts and escalations from various business areas, ensuring senior management approval in higher-risk scenarios.
• Investigate suspicious activities and report any findings to the Financial Intelligence Unit (FIU), with full access to necessary data and documentation for investigations.
• Prepare and submit timely external reports on AML, CTF, ABC, and sanctions to relevant authorities (e.g., BaFin, LKA).
• Oversee any outsourced AML/CTF, ABC, or sanctions-related services, escalating concerns as necessary to management and compliance teams.
• Provide senior management with timely notifications and management information, including data required for the Financial Crime Prevention Risk Management Framework.
• Establish and maintain ongoing internal monitoring, testing, and reporting to senior management regarding the effectiveness of the AML, ABC, CFT, and sanctions program.
• Lead the organization’s response to information requests from German supervisory authorities and other competent bodies.
• Develop and enhance the business's ML/TF risk assessment, ensuring a comprehensive inventory of all associated risks.
• Assist both internal and external audits in their regular assessments concerning AML/CFT, ABC, and sanctions, diligently following up on any recommendations.
• Monitor relevant laws and regulations regarding AML/CTF, ensuring compliance with German Money Laundering Regulations and utilizing findings from government or FATF reports.
• Maintain an accessible inventory of essential AML/CTF laws and regulations pertinent to the business for all staff.
• Advise senior management on relevant laws, regulations, and best practices, keeping them informed of any developments.
• Provide training and support to employees, particularly in establishing adequate arrangements for awareness and training related to German AML/CTF regulations, including annual reliability examinations.
• Assist the MLRO in developing and managing a risk-based Financial Crime Prevention annual plan.
• Support the MLRO in preparing an annual report.
• Participate in ad-hoc projects as required.
• Attend relevant workshops, training sessions, and external seminars to stay updated on AML/CTF matters.
• Offer ongoing advice and support within the organization.
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 integrity and ethical standards.
• Ability to manage stress and adapt to changing tasks and timelines.
• Capacity to work independently with minimal supervision.
• Proficient in both German and English.
• Strong communication and listening skills.
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