• Perform KYC Securities Onboarding responsibilities for the Clearing and Institutional customers, including reviews on complex accounts and high-risk customers, new accounts submission/creation on the onboarding systems, and existing customer account maintenance/updates.• Conduct regulatory customer onboarding review, refresh reviews, CIP, customer screening, due diligence, and KYC remediations as needed by collecting updated documentation and information required to satisfy current KYC/AML regulatory requirements. • Prepare escalation memos based on adverse findings obtained during the KYC review (Name screening for negative news, PEPs, and potential sanctions hits).• Closely working with Front Office teams, Sales Support personnel, as well as AML and Compliance teams.• Contribute with identifying gaps or matters requiring additional information in department policies, procedures and/or documentation.• Promote a stronger KYC control process, requirements, and client onboarding experience (i.e., factoring in client, front office, operations, and regulatory integrity).• Conduct accurate and consistent processing of KYC reviews and escalations as needed.• Review, communicate deficiencies, and follow up on aged requests in a timely manner.• Prioritize time sensitive requests and accounts.• Monitor deficiencies in paperwork submitted and provide guidance on the firm’s KYC procedures to the submitters.• Monitor the tracking of information for each customer KYC file request (pending information details, aging, progress, completion status).• Escalate all KYC issues across all our Clearing platforms to the team lead first.• Review reports and retain as required by company and industry retention policies.• Conduct database searches, screenings, and evaluation of results.• Partner with AML EDD team members as needed during the KYC review process.• Review reports and quality control checks on KYC rules and regulations within the department.

• First point of contact for prospective customers, develop strong working relationships with new and existing clients. • Onboarding of new clients (domestic and foreign), demonstrating a strong knowledge in the account opening process and account maintenance procedures, including onboarding of complex structures and completion of all CDD, account maintenance, and KYC processes. • Resolve and escalate issues proactively and in a timely manner to team lead.• Review of legal and commercial documents, understanding client’s business, corporate structure, control and ownership, and risk associated, performing quality control checks before submission of new customers for approval. • Provide advice and clarifications on any issues, questions, and inquiries, to ensure high quality and timely completion of the KYC and onboarding process. • Strong knowledge regarding procedures for accounts maintenance based on requests and internal needs, collaborating with other departments, and performing the process of KYC updates (name changes, personal data updates, address changes, etc.), commissions and products changes, authorized individual’s updates, email distribution lists, control and interested party updates and inactive/closed client account updates in multiple platforms (CSC, Salesforce, Client’s Data Bases).• Provide support to all clients from StoneX FCM Latin American Division, in partnership with other supporting areas such as Client Services, Credit, Compliance, AML, Legal & Contracts, Account Management and Operations teams, as a point of service contact to solve any issues and to ensure a highly efficient and rewarding client experience. • Function as a liaison between Compliance and clients to ensure internal and external regulatory requirements are completed on time (Customer Updates, LEIs, and others).• In-depth understanding of USA PATRIOT Act, and FinCEN requirements to be applied in the KYC and CIP process.

Experienced for more than 4 years focused on customer service. Document analysis, translations, preparing immigration forms and conducting several types of immigration paperwork. Responsible, analytical, very well-organized and detail-oriented, able to manage multiple priorities and multitask. Ability to help with clients' needs, solve issues, and ensure high quality and good performance in processes.

• Providing client service as needed.• Advising on decisions on environment-related claims and complaints. • Locating and summarizing applicable statutory, regulatory, and case law.• Preparing documents for submitting responses to requests and inquiries from customers and government agencies.• Researching the availability of, and then obtaining documents from foreign countries (mainly from Latin America) for comparative law purposes in environmental law field.• Preparing, reviewing, and approving contracts and other types of legal documents in support of office procedures.• Managing files and records, preparing reports as needed, and following up on cases. • Responsible for preparing, organizing, and reviewing of legal documentation related to the regulatory and administrative activity of company.• Responsible for researching the availability of, and then obtaining documents from foreign countries (mainly from Latin America), for comparative law purposes.• Managing files, documents and records for clients, company officers and board of directors.