Interactive Brokers LLC is seeking a motivated and talented Compliance Manager for our Enhanced Due Diligence Group. This position will be located in our Chicago office.
The Manager will be expected to:
Train and lead a team of analysts responsible for conducting due diligence and enhanced due diligence on certain existing and prospective accounts. This will include higher risk accounts and accounts introduced by US and non-US brokers on an omnibus basis.
Have a good working knowledge of SEC, FINRA, CFTC, NFA, and state and foreign regulations related to AML and EDD requirements.
Assist with designing enhancements to the firm’s automated systems to facilitate the firm’s due diligence efforts.
Assist with creating and implementing policies and procedures relative to the firm’s enhanced due diligence program.
Conduct supervisory reviews of investigations and transaction monitoring alerts and provide constructive feedback to analysts.
Draft, review, and file Suspicious Activity Reports.
Minimum 3-5 years' experience handling AML and/or EDD matters at a regulator, industry association, law firm, consulting firm, an investment advisory firm, or another broker-dealer or FCM are preferred.
Appropriate securities and/or commodities registrations and/or ability to complete further required registration exams promptly.
High degree of comfort with technology and a functional understanding of how technology can be applied to business and regulatory solutions.
Outstanding leadership, communication, analytical, and project management skills.
Ability to work under pressure, formulate and articulate solutions, and defend assumptions.
Bachelor’s degree or military experience.
Certified Anti-Money Laundering Specialist (CAMS) or similar certification strongly preferred.
Interactive Brokers a subsidiary of publicly-traded Interactive Brokers Group, Inc., based in Greenwich, Connecticut (NASDAQ: IBKR) is a low-cost provider of trade execution and clearing services for active traders, institutional investors, financial advisors and introducing brokers. IBKR’s premier technology provides electronic access to stocks, options, futures, forex, bonds, and funds worldwide from a single IBKR Integrated Investment account. IBKR is one of the largest online brokers by trade volume and is consistently ranked at the top of its field.
Our employees are part of a dynamic, multinational, fast-paced, results-oriented team working to provide our customers with state-of-the-art trading technology, superior execution capabilities, worldwide electronic access, and sophisticated risk management tools.
Our headquarters are in Greenwich, CT, USA. IBKR has offices in the United States, Canada, the United Kingdom, Switzerland, Hungary, Estonia, Russia, India, Hong Kong, China, Japan and Australia.
IBKR is a member of NYSE, FINRA, and SIPC. Interactive Brokers Group brokerage affiliates are regulated by securities and commodities agencies around the world.