FIU Compliance Manager

at  interactive brokers

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.

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.

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.