Compliance Manager Financial Intelligence Unit Regulatory Inquiries

Profile

Interactive Brokers is looking to hire Compliance Manager at the Chicago Office within the Financial Intelligence Unit -Regulatory Inquiries team
. This is a mid-level management position with room for growth for highly motivated and exceptional performers. The Compliance Manager will report to a Compliance Unit Head and will assist with ensuring the firm complies with Bank Secrecy Act, USA PATRIOT Act, anti-terrorist financing, sanctions, industry AML, and securities laws and regulations.
Responsibilities
Oversee and train a team of analysts responsible for:
Reviewing regulatory requests from federal and state governmental agencies and law enforcement (e.g., CFTC, SEC, DOJ, and state securities regulators) and self-regulatory organizations (e.g., FINRA, CME, NFA);
Conducting investigations to determine whether suspicious activity reports (“SARs”) should be filed; and
Escalating other red flags identified to senior management to determine appropriate actions to be taken.
Monitor and manage daily 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.
Qualifications
5-10 years of experience in investment management/AML compliance/market regulation, preferably at a self-regulatory organization, federal regulator, or large broker or other financial institution with an international customer base.
2 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.
High degree of comfort with technology and a functional understanding of how technology can be applied to business and regulatory solutions.
Outstanding leadership, communication, analytical, and project management skills.
Willingness and ability to obtain financial registration exams promptly.
Certified Anti-Money Laundering Specialist (CAMS) or similar certification, including Series 7 or 24 are highly preferred.
J.D. strongly preferred.
Prior experience with a federal or state securities/trading products regulator or a self-regulatory organization strongly preferred.
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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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