FIU Compliance Manager

2 weeks ago

Chicago, United States Interactive Brokers Full time
Job DescriptionJob Description

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. Bachelor's 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

Company Overview

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.

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