Senior FCP Transaction Monitoring

Overview

With 5,400+ employees and over 80,000 institutional, commercial, and payments clients, we operate from more than 80 offices spread across six continents. As a Fortune 100, Nasdaqlisted provider, we connect clients to the global markets – focusing on innovation, human connection, and providing world-class products and services to all types of investors.

Whether you want to forge a career connecting our retail clients to potential trading opportunities, or ingrain yourself in the world of institutional investing, StoneX Group is made up of four business segments that offer endless potential for progression and growth.

Responsibilities

The FCP Transaction Monitoring Quality Checker is responsible for conducting independent quality assurance reviews of transaction monitoring alerts, investigations, and case dispositions to ensure compliance with internal policies, regulatory requirements, and financial crime compliance standards. This role involves assessing the accuracy and consistency of analyst decisions, identifying quality gaps and emerging trends, providing feedback and coaching to the Transaction Monitoring team, and supporting continuous improvement initiatives to strengthen the effectiveness of the transaction monitoring control framework and suspicious activity detection processes.

Responsibilities:

• Perform quality assurance reviews of Transaction Monitoring alerts and investigations to ensure accuracy, completeness, and compliance with regulatory and internal requirements.
• Conduct quality reviews of Senior Associate queues and Trigger Word Reports, ensuring adherence to established procedures and quality standards.
• Identify errors, emerging trends, and process improvement opportunities, and provide constructive feedback to analysts and Team Leads.
• Monitor quality performance metrics and support the implementation of corrective and preventive actions.
• Reviewing complex Transaction Monitoring investigations and Suspicious Activity Report (SAR) recommendations.
• Maintain accurate documentation of quality reviews, findings, recommendations, and remediation actions.
• Support internal audits, compliance assessments, and regulatory review activities by providing quality-related insights and documentation.
• Assist in the delivery of quality assurance training, knowledge-sharing sessions, and coaching initiatives to enhance team performance.
• Collaborate with Entity Heads and other stakeholders to align quality assurance practices and consistently meet business expectations.
• Adhere to the Company's Return-to-Office (RTO) policy, including a requirement to work from the office four days per week.
  
  

Qualifications

Qualifications:

• Bachelor's degree in Finance, Accounting, Business Administration, Economics, Law, or a related field.
• Minimum of 3-5 years of experience in Transaction Monitoring, AML, Financial Crime Compliance or Quality Assurance.
• Strong understanding of AML/CFT regulations and frameworks
• Experience conducting quality reviews, root cause analysis, and providing actionable feedback to operational teams.
• Sound knowledge of, suspicious activity identification, and escalation procedures.
• Familiarity with regulatory expectations and industry best practices related to Financial Crime Compliance.
• Strong analytical, investigative, and problem-solving skills with a high level of attention to detail.
• Experience working with transaction monitoring systems, case management tools, and quality assurance frameworks.
• Ability to interpret policies, procedures, and regulatory requirements and apply them effectively during quality reviews.
• Excellent written and verbal communication skills, including the ability to provide clear and constructive feedback.
• Strong stakeholder management skills with the ability to collaborate effectively across operational teams and business functions.
• Ability to identify trends, process gaps, and continuous improvement opportunities through data analysis and quality assessments.
• Strong organizational and time management skills with the ability to manage multiple priorities in a fast-paced environment.
• Demonstrated ability to mentor, coach, and support the professional development of team members.
  
  

Key Competencies:

• Quality Assurance & Control
• Regulatory & Compliance Knowledge
• Attention to Detail
• Risk Identification & Escalation
• Analytical Thinking
• Decision Making
• Communication & Feedback Delivery
• Process Improvement & Continuous Learning
• Stakeholder Collaboration
• Organizational Skills and Time Management