Financial Intelligence Unit Manager (Regulatory Inquiries)

Company: Interactive Brokers Group, Inc.
Location: Chicago
Posted on: February 25, 2021

Job Description:

Financial Intelligence Unit Manager (Regulatory Inquiries) 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. Day-to-day responsibilities include:

• Oversee and train a team of analysts responsible for:
• Reviewing regulatory requests from federal and state governmental agencies (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. Qualification & Skills
  • 5-10+ years of experience in investment management/AML compliance/market regulation, preferably at a self-regulatory organization, 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 regulator or a self-regulatory organization strongly preferred. Company Benefits & Perks
    • Competitive salary, annual performance-based bonus and stock grant
    • Retirement plan (401K) with 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 with Udemy
    • Modern offices with sit/stand desks and multi-monitor setups Company Overview Interactive Brokers ("IBKR"), a subsidiary of publicly-traded Interactive Brokers Group, Inc., 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, Luxembourg,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. Click HERE to view a short video with a few words from current Interactive Brokers employees. Interactive Brokers ("IBKR") is committed to protecting the privacy of its users. 1. Aggregate Information about Visitors We collect information on a general and aggregate basis, such as IP addresses, in order to analyze the performance of our sites. This data is used completely anonymously in order to determine the number of people who visit our sites and the most frequently used sections of our sites. This enables us to continually update and refine our sites to ensure it provides you with a successful experience. 2. Information about Users When registering you are requested to enter certain information about yourself. This information forms the basis for any job application. 3. Your Online CV and Job Application The details of your job application, covering letter, CV and academic results and any other information will not be viewed by anyone except IBKR and any third party service providers used by IBKR for its hiring processes. 4. Information Management You can edit any information entered at any time before your job application is submitted. This includes contact details, email address, job application information and password. However, once a job application has been sent, that specific job application cannot be altered. You have certain rights to see and correct data held about you. Please refer to the IBKR Group Privacy Policy on our website. 5. Security The security of our system is very important to us and we work hard on it. However, please note that no data transmission over the Internet is 100% secure. Do you now, or will you in the future, need sponsorship from an employer in order to obtain, extend or renew your authorization to work in the United States? Please note: if you are on F-1 Optional Practical Training (OPT) answer YES. We will review your individual case if selected for a position. --*
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Keywords: Interactive Brokers Group, Inc., Chicago , Financial Intelligence Unit Manager (Regulatory Inquiries), Executive , Chicago, Illinois