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Global Head of Sanctions
4 months ago
About INTERACTIVE BROKERS
This is a hybrid role (three days in the office/two 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.
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.
Responsibilities
- Develop and maintain a Global Sanctions program to ensure compliance with sanction obligations across our global affiliates.
- Keep current with all applicable sanctions against individuals, entities, countries, and trading products and confirm that all are covered by the firm's sanction programs.
- Maintain or develop external contacts among industry peer groups to help us stay aligned 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.
Basic Qualifications
- 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
Preferred Qualifications
- 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.
To be successful in this position, you will have the following:
- Self-motivated and able to handle tasks with minimal supervision.
- Superb analytical and problem-solving skills.
- Excellent collaboration and communication (Verbal and written) skills.
- Outstanding organizational and time management skills.
- Competitive salary, annual performance-based bonus and stock grant.
- Retirement plan 401(k) with competitive company match.
- Excellent health and wellness benefits, including medical, dental, and vision benefits, and a company-paid medical healthcare premium.
- Wellness screenings, assessments, health coaches, and counseling services through an Employee Assistance Program (EAP).
- Paid time off and a generous parental leave policy.
- A daily company lunch allowance is provided, and a fully stocked kitchen with healthy options for breakfast and snacks is also available.
- 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 Group, Inc. (Nasdaq: IBKR) is a global financial services company headquartered in Greenwich, CT, USA, with offices in over 15 countries. We have been at the forefront of financial innovation for over four decades, known for our cutting-edge technology and client commitment.
IBKR affiliates provide global electronic brokerage services around the clock on stocks, options, futures, currencies, bonds, and funds to clients in over 200 countries and territories. We serve individual investors and institutions, including financial advisors, hedge funds and introducing brokers. Our advanced technology, competitive pricing, and global market help our clients to make the most of their investments.
Barron's has recognized Interactive Brokers as the #1 online broker for six consecutive years. Join our dynamic, multi-national team and be a part of a company that simplifies and enhances financial opportunities using state-of-the-art technology.
