FIU Compliance Manager

4 weeks ago

Chicago Illinois United States Interactive Brokers Full time

About INTERACTIVE BROKERS

This is a hybrid role (3 days in the office/2 days remote).

Interactive Brokers Group has been consistently at the forefront of trading innovation, starting with the invention of the first floor-based handheld computer in 1983. We pride ourselves on being primarily a technology company and challenging the status quo. We push boundaries to offer our clients the best trading platform with the most sophisticated features at the lowest cost. Software development is the lifeblood of our firm, and it shows in our stellar brokerage platform. Interactive Brokers is regularly recognized as a leader in the financial services industry.

About Your Team:

Interactive Brokers is looking to hire a Compliance Manager at the Chicago Office. This is a mid-level management position with room for growth for highly motivated and exceptional performers. This Manager will ensure the firm complies with the Bank Secrecy Act and the USA PATRIOT Act, combating the financing of terrorism, sanctions, industry AML, and securities laws and regulations.

What will be your responsibilities within IBKR: 

  • Oversee and train a team of analysts responsible for monitoring reviews and investigations.
  • Monitor and manage daily investigative workflow, controls, and results metrics for the team and ensure timely completion of tasks.
  • Engage senior management across corporate compliance, operations, and information technology to manage, report on, and improve investigative work.
  • Conduct supervisory reviews and provide constructive coaching and direction to team members.
  • Evaluate risk associated with AML and Financial Crime Risk processes and recommend enhancements, where appropriate.
  • When needed, support and participate in internal, external, and regulatory audits and examinations.

Which skills are required:

  • Three to five plus years of experience in investment management or AML compliance, preferably at a large broker or other financial institution with an international client base
  • Two plus years of management experience
  • Solid academic background. Bachelorâs Degree or commensurate military experience
  • Ability to develop compliance solutions that satisfy relevant regulations while executing sound business judgment.
  • Ability to work in a small-team environment, work independently, and multi-task with minimal supervision.
  • A high degree of comfort with technology and a functional understanding of how to apply technology to business and regulatory solutions
  • Outstanding leadership, communication, analytical, and project management skills
  • A willingness and ability to obtain financial registration exams promptly
  • Certified Anti-Money Laundering Specialist (CAMS) or similar certification, including Series 7 or 24, is highly preferred.

Company Benefits & Perks

  • Competitive salary, annual performance-based bonus and stock grant
  • Retirement plan 401(k) with a competitive company match
  • Excellent health and wellness benefits, including medical, dental, and vision benefits, and a company-paid medical healthcare premium
  • 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

  • FIU Compliance Manager

    4 weeks ago

    Chicago, United States Interactive Brokers LLC Full time

    About INTERACTIVE BROKERS! This is a hybrid role (3 days in the office/2 days remote). Interactive Brokers Group has been consistently at the forefront of trading innovation, starting with the invention of the first floor-based handheld computer in 1 Compliance Manager, Manager, Compliance, Project Management, Business Services, Broker

  • FIU Compliance Manager

    19 hours ago

    Chicago, United States Interactive Brokers LLC Full time

    About INTERACTIVE BROKERS! This is a hybrid role (3 days in the office/2 days remote). Interactive Brokers Group has been consistently at the forefront of trading innovation, starting with the invention of the first floor-based handheld computer in 1 Compliance Manager, Manager, Compliance, Project Management, Business Services, Broker

  • FIU Compliance Manager

    1 month ago

    Chicago, Illinois, United States Interactive Brokers Full time

    About INTERACTIVE BROKERSThis is a hybrid role (3 days in the office/2 days remote).Interactive Brokers Group has been consistently at the forefront of trading innovation, starting with the invention of the first floor-based handheld computer in 1983. We pride ourselves on being primarily a technology company and challenging the status quo. We push...

  • FIU Compliance Manager

    4 weeks ago

    Chicago, United States Interactive Brokers Group Inc. Full time

    About INTERACTIVE BROKERS! This is a hybrid role (3 days in the office/2 days remote). Interactive Brokers Group has been consistently at the forefront of trading innovation, starting with the invention of the first floor-based handheld computer in 1983. We pride ourselves on being primarily a technology company and challenging the status quo. We push...

  • FIU Compliance Manager

    23 hours ago

    Chicago, Illinois, United States Interactive Brokers Full time

    About INTERACTIVE BROKERSThis is a hybrid role (3 days in the office/2 days remote).Interactive Brokers Group has been consistently at the forefront of trading innovation, starting with the invention of the first floor-based handheld computer in 1983. We pride ourselves on being primarily a technology company and challenging the status quo. We push...

  • FIU Compliance Manager

    3 hours ago

    Chicago, United States Interactive Brokers Group Inc. Full time

    About INTERACTIVE BROKERS! This is a hybrid role (3 days in the office/2 days remote). Interactive Brokers Group has been consistently at the forefront of trading innovation, starting with the invention of the first floor-based handheld computer in 1983. We pride ourselves on being primarily a technology company and challenging the status quo. We push...

  • FIU Compliance Manager

    1 month ago

    Chicago, United States Interactive Brokers Full time

    Job DescriptionJob DescriptionAbout INTERACTIVE BROKERS!This is a hybrid role (3 days in the office/2 days remote).Interactive Brokers Group has been consistently at the forefront of trading innovation, starting with the invention of the first floor-based handheld computer in 1983. We pride ourselves on being primarily a technology company and challenging...

  • FIU Compliance Manager

    18 hours ago

    Chicago, United States Interactive Brokers Full time

    Job DescriptionJob DescriptionAbout INTERACTIVE BROKERS!This is a hybrid role (3 days in the office/2 days remote).Interactive Brokers Group has been consistently at the forefront of trading innovation, starting with the invention of the first floor-based handheld computer in 1983. We pride ourselves on being primarily a technology company and challenging...

  • Senior Manager, Growth Marketing

    3 days ago

    Chicago, United States Harbor Compliance Full time

    Elevate Your Career at Harbor Compliance! Location: Full-time Remote (Excluding CA, CO, MT, NY) About Harbor Compliance: Harbor Compliance is a trailblazer in the compliance sector, dedicated to simplifying the complexities of business licensing and legal entity management for nonprofits and businesses. A recognized leader with accolades from Inc. 5000 and...

  • Compliance Consultancy Director – Previous Compliance Funds Experience and 1940 Act/NFA/CFTC Knowledge Required

    2 months ago

    New York, NY, United States Compliance Recruitment Solutions Full time

    Compliance Consultancy Director – Previous Compliance Funds Experience and 1940 Act/NFA/CFTC Knowledge Required Ref: 4015G3 $200K - $220K + Bonus + Benefits   New York City Our Client, a growing and dynamic regulatory consulting firm based in New York and London, are looking to hire an experienced compliance professional to join their New York Regulatory...

  • Compliance Manager

    3 weeks ago

    Chicago, United States Larson Maddox Full time

    Come join a Chicago-based Registered Investment Advisor (RIA) firm that specializes in providing investment advice and management services to high-net-worth individuals and institutional clients. They are seeking a Compliance Officer to join the team and work alongside the Compliance Manager, Chief Compliance Officer & General Counsel, and Chief Operating...

  • Compliance Manager

    4 weeks ago

    Chicago, United States Larson Maddox Full time

    Come join a Chicago-based Registered Investment Advisor (RIA) firm that specializes in providing investment advice and management services to high-net-worth individuals and institutional clients. They are seeking a Compliance Officer to join the team and work alongside the Compliance Manager, Chief Compliance Officer & General Counsel, and Chief Operating...

  • Compliance Manager

    4 weeks ago

    Chicago, United States Larson Maddox Full time

    Come join a Chicago-based Registered Investment Advisor (RIA) firm that specializes in providing investment advice and management services to high-net-worth individuals and institutional clients. They are seeking a Compliance Officer to join the team and work alongside the Compliance Manager, Chief Compliance Officer & General Counsel, and Chief Operating...

  • Compliance Manager

    3 days ago

    Chicago, United States Larson Maddox Full time

    Responsibilities:Develop and maintain a comprehensive understanding of the business areas, products, and supporting functions.Oversee the registration and ongoing compliance obligations of alternative investment vehicles registered under the Investment Company Act of 1940, including Board reporting, in coordination with legal counsel and external service...

  • Compliance Manager

    4 days ago

    Chicago, United States Larson Maddox Full time

    Responsibilities:Develop and maintain a comprehensive understanding of the business areas, products, and supporting functions.Oversee the registration and ongoing compliance obligations of alternative investment vehicles registered under the Investment Company Act of 1940, including Board reporting, in coordination with legal counsel and external service...

  • Compliance Manager

    22 hours ago

    Chicago, United States Larson Maddox Full time

    Responsibilities:Develop and maintain a comprehensive understanding of the business areas, products, and supporting functions.Oversee the registration and ongoing compliance obligations of alternative investment vehicles registered under the Investment Company Act of 1940, including Board reporting, in coordination with legal counsel and external service...

  • Compliance Manager

    3 weeks ago

    Chicago, United States Larson Maddox Full time

    Responsibilities:Develop and maintain a comprehensive understanding of the business areas, products, and supporting functions.Identify risks, assess mitigating controls, and make recommendations to improve the control environment.Follow up on open issues and ensure their resolution.Prepare various regulatory filings.Create, implement, review, and analyze...

  • Compliance Manager

    3 weeks ago

    Chicago, United States Larson Maddox Full time

    Responsibilities:Develop and maintain a comprehensive understanding of the business areas, products, and supporting functions.Identify risks, assess mitigating controls, and make recommendations to improve the control environment.Follow up on open issues and ensure their resolution.Prepare various regulatory filings.Create, implement, review, and analyze...

  • Compliance Manager

    3 weeks ago

    Chicago, United States Larson Maddox Full time

    Responsibilities:Develop and maintain a comprehensive understanding of the business areas, products, and supporting functions.Identify risks, assess mitigating controls, and make recommendations to improve the control environment.Follow up on open issues and ensure their resolution.Prepare various regulatory filings.Create, implement, review, and analyze...

  • Sr. Technical Product Manager

    1 week ago

    Chicago, Illinois, United States Match Group Full time

    The Match Group Central Platforms Technology and Services team is on a mission to create safer platforms and communities for all. Our growing team is looking for a Technical Product Manager to execute the product strategy for Match Group’s integrated suite of services that support Privacy & Compliance initiatives across the portfolio.The ideal candidate...