Model Governance Manager Trade Surveillance

Profile

Interactive Brokers is looking to hire at the Chicago Office a technologically fluent Model Governance Manager with experience in Trade Surveillance. The Manager will report to the Head of Model Governance and will assist with ensuring the firm complies with Bank Secrecy Act, USA PATRIOT Act, anti-terrorist financing, industry AML, and securities laws and regulations as it relates primarily to US and foreign offices.
Responsibilities:
Establish and maintain model tuning documentation as it relates to Trade Surveillance reports.
Partner and collaborate with Business and Development on changes to Trade Surveillance report changes Develop and
Conduct annual testing of trade report thresholds, parameters, and functionality to assess if AML and market manipulation risks are being appropriately monitored by the report
Conduct beta testing and tuning of trade reports before being deployed in Production
Work collaboratively with stakeholders across Compliance and Programming
Maintain up to date Trade Surveillance model documentation
Trade Surveillance Manager will be responsible for actively following regulatory trends and responsible of proposing appropriate action to Compliance such as updating and designing surveillance reports to ensure the firm has inclusive surveillance coverage
Perform Trade Surveillance Coverage Analysis to identify gaps and recommendations.
Compile trade report analysis into meaningful summaries and make findings available to relevant stakeholders
Assist with the implementation of multiple Trade related model projects and deliver tasks in a timely manner
Qualifications:
5 years of Trade Surveillance experience with US Broker-Dealer, FCM, or Exchange (preferably at a large broker or other financial institution with an international customer base)
In-depth knowledge of trading products (Equities, Options, and Futures as well as CFDs and FOREX) across all asset classes, as well as applicable regulatory requirements, industry standards, risk management and controls
Experience in US and Foreign Regulatory regimes
Experience in designing reports/controls for Trade Surveillance
Outstanding leadership, communication, analytical, and project management skills.
Preferred Qualifications
Bachelor’s or master’s degree in Computer Science, or related degree
Minimum 5 years of Trade Surveillance experience
Minimum 5 years of professional programming experience in Python, NoSQL and Linux.
Minimum 3 years of professional experience in Linux.
Minimum 3 years of Relational databases experience (Oracle).
Experience with Pandas and NumPy
Regulatory certification a plus.
Company Benefits & Perks
Competitive salary, annual performance-based bonus and stock grant
Retirement plan 401(k) with competitive company match
Excellent health and welfare benefits including medical, dental, and vision benefits
Wellness screenings and assessments, health coaches and counseling services through Employee Assistance Program (EAP)
Paid time off and a generous parental leave policy
Daily company paid lunch 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 sit/stand desks and multi-monitor setups
Company Overview
Interactive Brokers (IBKR), a subsidiary of publicly-traded **MEMBERS ONLY**SIGN UP NOW***., 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, 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.
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