Futures & Clearing Onboarding Specialist
StoneX Group•Newark, NJ
About The Position
This role supports the onboarding process of new FCM accounts within the Clearing and Execution Services division at StoneX. The specialist will conduct comprehensive reviews of client account applications and meticulously assess KYC documentation. Collaboration with compliance is key to ensure all regulatory requirements are met, facilitating a seamless and fully compliant client onboarding experience.
Requirements
- 3+ years of FCM (futures and options) account onboarding experience
- Detailed understanding of client onboarding requirements by client type in accordance with US regulations and FINCEN standards is critical for success in this role.
- Experience delivering superior client service through proactive daily routine, internal relationship-building for problem solving, and creative solutions
- Superior client engagement skills with ability to react, prioritize and multitask
- Attention to detail, organization, prioritization, and time management skills
- Must be authorized to work in the US
Responsibilities
- Lead and oversee all aspects of the FCM client onboarding process to ensure full compliance with regulatory requirements and internal control standards.
- Ensure completion and integrity of all client due diligence and KYC requirements prior to submitting for compliance approval, in alignment with applicable AML regulations.
- Perform detailed reviews of onboarding documentation to validate accuracy, completeness, and compliance with regulatory expectations for FCM clients.
- Identify, assess, and escalate potential AML/KYC risks, discrepancies, or red flags to Compliance, AML, and Legal teams throughout onboarding and ongoing review processes.
- Conduct comprehensive analysis of client ownership structures and control relationships using corporate documentation and external sources to satisfy regulatory due diligence requirements.
- Serve as a key liaison with Compliance and Legal to ensure proper documentation, regulatory approvals, and agreement execution.
- Support institutional futures brokers by assisting with onboarding requirements, ensuring adherence to compliance standards, and identifying potential regulatory risks during the client intake process.
- Respond to client and internal inquiries with a focus on the FCM regulatory requirements, onboarding status, and compliance obligations.
Benefits
- full range of medical, financial, and/or other benefits, dependent on the position
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
Education Level
No Education Listed
