Perform Enhanced Due Diligence review on Individual and Corporate applications in accordance with policies and desktop procedures; identify and escalate potential AML risks;
Analyze and verify source of funds/wealth information through public domain or documentation.
Investigate and process alerts from multiple queues, sourcing information as appropriate from external sources and/or internal personnel to investigate and process alerts effectively;
Evaluate and resolve negative news and/or red flags or potential PEP matches escalated by other New Account Teams;
Run checks in the Offshore Leaks Database and conduct public domain searches for negative information related to applicants and associated entities;
Provide advice on issues and escalations to other New Accounts Teams to address difficult applications and independently recommend risk-based decisions to AML;
Responsible for timely escalations of suspected financial crime to AML;
Work closely with other New Account Teams and AML to ensure all financial crime risks are reviewed and evaluated
Qualifications & Experience:
Bachelor's degree/NFQ Level 7 with a major or concentration in Finance, Law, Accounting, or Information Systems, etc.
Minimum of 2 years’ experience and familiarity, preferably gained in brokerage or corporate banking environment, with on-boarding or reviewing high risk client relationships and carrying out EDD
Excellent written and oral communication skills in English
Strong research, investigatory, and problem-solving skills
Ability to make risk-based recommendations and articulate those persuasively to other departments
Prior experience in a highly automated environment and/or high degree of comfort with computers and technology
Intermediate experience with MS Outlook, MS Word, and MS Excel
Ability to work and thrive in a fast-paced medium-size office environment
Interactive Brokers ("IBKR"), 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, Australia, Canada, China, Estonia, Hong Kong, Hungary, India, Ireland, Japan, Luxembourg, Russia, Singapore, Switzerland and United Kingdom.
IBKR is a member of NYSE, FINRA, and SIPC. Interactive Brokers Group brokerage affiliates are regulated by securities and commodities agencies around the world.
Click HERE to view a short video with a few words from current Interactive Brokers employees.