Senior FCP Associate

StoneX is an institutional-grade financial services network that connects companies, organisations, and investors to the global markets ecosystem through a unique blend of digital platforms, end-to-end clearing and execution services, high-touch service, and deep expertise.

We provide access to 36 derivatives exchanges, 175 foreign exchange markets, nearly every global securities marketplace and a number of bi-lateral liquidity venues. We deliver this access with support throughout the entire lifecycle of a trade – from consulting and “boots-on-the-ground” intelligence to best execution, to post-trade clearing, custody, and settlement. In these ways, StoneX enables clients to use the global markets ecosystem to achieve their business goals through one trusted partner.

StoneX currently serves more than 30,000 commercial, institutional and payments clients, and more than 295,000 retail clients across more than 140 countries. Our clients use our institutional-grade digital platforms, our high-touch service, and our market intelligence to pursue trading opportunities, make investments efficiently, manage their market risks, and improve their business performance. Our relentless focus on helping them accomplish these objectives has enabled us to build deeply valued, long-term relationships based on guidance, integrity, transparency, and trust.

SFL is a solo-regulated firm, authorised and regulated by the Financial Conduct Authority (FCA). Under the Senior Managers and Certification Regime (“SMCR”), SFL is an Enhanced Firm.

To support the EMEA Financial Crime Oversight, Assurance & Testing (OAT) function through the execution of assurance reviews, control testing, thematic assessments and remediation validation activities, providing independent assurance over the effectiveness of Financial Crime controls.

The role will contribute to the development and enhancement of OAT methodologies, assurance frameworks, testing libraries, reporting processes and governance standards, helping to establish a consistent and effective assurance capability across the EMEA region.

• Conduct risk-based assurance reviews, thematic reviews and control testing activities across the EMEA Financial Crime framework.
• Assess the design and operating effectiveness of financial crime controls, identifying control weaknesses, emerging risks and opportunities for improvement.
• Perform walkthroughs, sampling, evidence gathering and testing activities in accordance with the approved OAT methodology and assurance standards.
• Prepare and maintain high-quality working papers, testing documentation, findings reports and supporting evidence to ensure a clear and auditable review trail.
• Validate remediation actions arising from assurance reviews, regulatory findings, internal audit findings and other control deficiencies.
• Contribute to the development and maintenance of assurance methodologies, testing scripts, working paper templates, evidence standards and review toolkits.
• Support the preparation of assurance reporting, management information, thematic analysis and governance committee materials.
• Assist in the development and delivery of the Annual Risk-Based Assurance & Testing Plan through execution of assigned reviews and testing activities.
• Contribute to the ongoing enhancement of OAT policies, procedures, frameworks and governance standards.
• Support management, MLROs and other stakeholders with assurance-related information requests, regulatory remediation activities, deep-dive reviews and thematic assessments.
• Develop and maintain effective working relationships with Operations, Compliance, Risk, Technology, Internal Audit, local MLROs and other stakeholders to promote a strong financial crime control environment.
• Monitor regulatory developments, industry guidance and emerging financial crime risks, ensuring relevant considerations are incorporated into assurance activities where appropriate.
• Support regulatory examinations, internal audits and external reviews by providing information, documentation and subject matter expertise as required.
• Undertake any other duties and responsibilities reasonably required by management from time to time.

• Bachelor’s Degree in Business, Law, or other appropriate discipline.
• Strong and efficient decision-making skills with the ability to use judgement and operate autonomously when required.
• Effective planning, organisational and time management skills.
• Relationship building and communications skills.
• Excellent stakeholder management with the ability to see the bigger picture and deal effectively with competing priorities.
• Ability to proactively identify and analyse problems and design effective solutions.
• Ability to lead and manage people and achieve results through others.
• Able to use good judgement and experience to articulate and document decision making rationale.
• Additional language skills would be an advantage in our global business environment.

• Good understanding of AML, CTF, sanctions, anti-bribery and corruption principles and the application of a risk-based approach to financial crime prevention.
• Previous experience in AML, Compliance, Financial Crime Prevention, Quality Assurance, Oversight, Risk Management or Control Testing functions within a regulated financial services environment.
• Ideally 3-5 years of experience in AML, Financial Crime Compliance, Quality Assurance, Assurance, Risk or related control functions.
• Good understanding of customer due diligence, ongoing monitoring, sanctions screening, transaction monitoring, periodic reviews and financial crime control frameworks.
• Knowledge of UK and EU AML regulatory requirements, including FCA expectations, Money Laundering Regulations, JMLSG guidance, FATF standards and relevant EU AML frameworks.
• Understanding of assurance, quality assurance, control testing, findings management, remediation validation and risk-based monitoring principles would be advantageous.