Interactive Brokers Group is searching for a Global Head of Sanctions to manage its global Sanctions program across all its affiliates. The Global Head of Sanctions should have experience directing and operating high-functioning teams in multiple international regulatory environments. This role will report directly to the Group Deputy Chief Regulatory Officer.
- Develop and maintain a Global Sanctions program to ensure compliance with sanction obligations across our global affiliates.
- Keep up to date with all applicable sanctions against individuals, entities, countries and trading products and confirm that all are covered in the firm’s sanction programs.
- Maintain or develop external contacts among industry peer groups to help us stay in line with industry best practices.
- Manage or assist risk assessments to identify sanctions risks related to new products and services.
- Establish and maintain a robust inventory of sanctions compliance controls, operational metrics, and regulatory reporting.
- Coordinate with different business units (e.g., Programming, Legal, Client Service) to resolve escalations and complex scenarios.
- Coordinate the firm’s responses to sanctions-related internal and external audits and examinations.
- Partner with the Legal Department to respond to regulatory requests related to sanctions, such as subpoenas and voluntary self-disclosures.
- Ten-plus years of experience in Sanctions compliance, preferably at a large broker or financial institution with an international client base or as legal counsel for a Sanctions regulator (e.g., OFAC) or international law firm specializing in Sanctions matters.
- Five-plus years of management experience.
- Expertise in global sanctions regimes, including the US, EU, UK, Canada, and/or countries in the Asia Pacific region.
- Outstanding leadership, communication, analytical, and project management skills. Detail oriented.
- Ability to develop compliance solutions that satisfy relevant regulations while executing sound business judgment.
- A high degree of comfort with technology and a functional understanding of how technology can be applied to business and regulatory solutions.
- Juris Doctor strongly preferred.
- Certified Anti-Money Laundering Specialist (CAMS) or similar certification.
- One or more FINRA licenses, such as the Series 7 or 24 licenses, would be helpful.
Company Benefits & Perks
- Competitive salary, annual performance-based bonus and stock grant
- Retirement plan 401(k) with a competitive company match
- Excellent health and welfare benefits, including medical, dental, and vision benefits
- Wellness screenings and assessments, health coaches and counseling services through an Employee Assistance Program (EAP)
- Paid time off and a generous parental leave policy
- Daily company lunch allowance provided and a fully stocked kitchen with healthy options for breakfast and snack
- Corporate events, including team outings, dinners, volunteer activities and company sports teams
- Education reimbursement and learning opportunities
- Modern offices with multi-monitor setups
Interactive Brokers LLC, a subsidiary of Interactive Brokers Group, Inc. (Ticker: IBKR) is a direct access electronic broker serving professionals, frequent traders, institutional investors, financial advisors and introducing brokers. Our clients have access to more than 150 market centers around the world from a single integrated account. Our employees are part of a dynamic, multi-national, fast-paced, results-oriented team that has spent four decades focused on advanced technology and automation that equips our clients with a uniquely sophisticated platform to manage their investment portfolios. We provide our clients with advantageous execution prices, risk and portfolio management tools, research facilities and investment products, at low or no cost, positioning them to achieve superior returns.
Headquartered in Greenwich, CT, USA. IBKR has offices in more than 15 countries across the world.
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 the link to view a short video with a few words from current Interactive Brokers employees: https://www.interactivebrokers.com/en/index.php?f=31899