ChicagoRecruiter Since 2001
the smart solution for Chicago jobs

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. --*
        -- If you selected Employee Referral, College/University, or Other Please type details:
        source2 LinkedIn Profile
        Website
        I certify that all information I have provided in order to apply and secure employment with this employer is true, complete and correct.I understand that any information provided by me that is found to be false, incomplete or misrepresented in any aspect, will be sufficient cause to (i) eliminate me from further consideration for employment, or (ii) may result in my immediate discharge from the employer's service, whenever it is discovered. --*
        Please select U.S. Equal Opportunity Employment Information (Completion is voluntary) Individuals seeking employment at Interactive Brokers are considered without regards to race, color, religion, national origin, age, sex, marital status, ancestry, physical or mental disability, veteran status, gender identity, or sexual orientation. You are being given the opportunity to provide the following information in order to help us comply with federal and state Equal Employment Opportunity/Affirmative Action record keeping, reporting, and other legal requirements. Completion of the form is entirely voluntary. Whatever your decision, it will not be considered in the hiring process or thereafter. Any information that you do provide will be recorded and maintained in a confidential file. Gender Please select Are you Hispanic/Latino? Please select Race & Ethnicity Definitions If you believe you belong to any of the categories of protected veterans listed below, please indicate by making the appropriate selection. As a government contractor subject to Vietnam Era Veterans Readjustment Assistance Act (VEVRAA), we request this information in order to measure the effectiveness of the outreach and positive recruitment efforts we undertake pursuant to VEVRAA. Classification of protected categories is as follows: A "disabled veteran" is one of the following: a veteran of the U.S. military, ground, naval or air service who is entitled to compensation (or who but for the receipt of military retired pay would be entitled to compensation) under laws administered by the Secretary of Veterans Affairs; or a person who was discharged or released from active duty because of a service-connected disability. A "recently separated veteran" means any veteran during the three-year period beginning on the date of such veteran's discharge or release from active duty in the U.S. military, ground, naval, or air service. An "active duty wartime or campaign badge veteran" means a veteran who served on active duty in the U.S. military, ground, naval or air service during a war, or in a campaign or expedition for which a campaign badge has been authorized under the laws administered by the Department of Defense. An "Armed forces service medal veteran" means a veteran who, while serving on active duty in the U.S. military, ground, naval or air service, participated in a United States military operation for which an Armed Forces service medal was awarded pursuant to Executive Order 12985. Veteran Status Please select Form CC-305 OMB Control Number 1250-0005 Expires 05/31/2023 Voluntary Self-Identification of DisabilityWhy are you being asked to complete this form? We are a federal contractor or subcontractor required by law to provide equal employment opportunity to qualified people with disabilities. We are also required to measure our progress toward having at least 7% of our workforce be individuals with disabilities. To do this, we must ask applicants and employees if they have a disability or have ever had a disability. Because a person may become disabled at any time, we ask all of our employees to update their information at least every five years. Identifying yourself as an individual with a disability is voluntary, and we hope that you will choose to do so. Your answer will be maintained confidentially and not be seen by selecting officials or anyone else involved in making personnel decisions. Completing the form will not negatively impact you in any way, regardless of whether you have self-identified in the past. For more information about this form or the equal employment obligations of federal contractors under Section 503 of the Rehabilitation Act, visit the U.S. Department of Labor's Office of Federal Contract Compliance Programs (OFCCP) website at www.dol.gov/ofccp . How do you know if you have a disability? You are considered to have a disability if you have a physical or mental impairment or medical condition that substantially limits a major life activity, or if you have a history or record of such an impairment or medical condition. Disabilities include, but are not limited to:
        • Autism
        • Autoimmune disorder, for example, lupus, fibromyalgia, rheumatoid arthritis, or HIV/AIDS
        • Blind or low vision
        • Cancer
        • Cardiovascular or heart disease
        • Celiac disease
        • Cerebral palsy
        • Deaf or hard of hearing
        • Depression or anxiety
        • Diabetes
        • Epilepsy
        • Gastrointestinal disorders, for example, Crohn's Disease, or irritable bowel syndrome
        • Intellectual disability
        • Missing limbs or partially missing limbs
        • Nervous system condition for example, migraine headaches, Parkinson's disease, or Multiple sclerosis (MS)
        • Psychiatric condition, for example, bipolar disorder, schizophrenia, PTSD, or major depression Disability Status Please select 1 Section 503 of the Rehabilitation Act of 1973, as amended. For more information about this form or the equal employment obligations of Federal contractors, visit the U.S. Department of Labor's Office of Federal Contract Compliance Programs (OFCCP) website at www.dol.gov/ofccp . PUBLIC BURDEN STATEMENT: According to the Paperwork Reduction Act of 1995 no persons are required to respond to a collection of information unless such collection displays a valid OMB control number. This survey should take about 5 minutes to complete.

Keywords: Interactive Brokers Group, Inc., Chicago , Financial Intelligence Unit Manager (Regulatory Inquiries), Executive , Chicago, Illinois

Click here to apply!

Didn't find what you're looking for? Search again!

I'm looking for
in category
within


Other Executive Jobs


Warehouse Manager
Description: Requisition ID 20722 br Position Type US Full Time br Career Function Supply Chain br Recruiter br Posting Type LI br Leading to better encompasses all we do at Kerry, it's how we've become (more...)
Company: Kerry
Location: Wheaton
Posted on: 03/3/2021

Warehouse manager
Description: Requisition ID 20722 br Position Type US Full Time br Career Function Supply Chain br Recruiter br Posting Type LI br Leading to better encompasses all we do at Kerry, it's how we've become (more...)
Company: Kerry
Location: Wheaton
Posted on: 03/3/2021

Environmental Services Director
Description: POSITION: Environmental Services DirectorSUPERVISOR: Executive Director Why Charter Senior Living It truly feels like a family at Charter. The residents are an extension of my family now. I love coming (more...)
Company: Charter Senior Living
Location: Hoffman Estates
Posted on: 03/3/2021


Store Manager - Orland Park IL
Description: To Connect with a recruiter today text Apply to 44844 Belle Tire is a family owned company that has been in business for over 90 years with over 125 stores in 3 states. We have more than 2,000 employees (more...)
Company: Belle Tire
Location: Orland Park
Posted on: 03/3/2021

Senior Project Manager (Big Data)
Description: A Few Words About UsIntegrated Resources, Inc is a premier staffing firm recognized as one of the tri-states most well-respected professional specialty firms. IRI has built its reputation on excellent (more...)
Company: Integrated Resources Inc.
Location: Elmhurst
Posted on: 03/3/2021

Manager of Pharmacy Care - Downer's Grove, IL
Description: Manager of Pharmacy Care - Downer's Grove, IL Compassion. It's the starting point for health care providers like you and it's what drives us every day as we put our exceptional skills together with a (more...)
Company: UnitedHealth Group
Location: Downers Grove
Posted on: 03/3/2021

Salon Manager - Darien Towne Centre
Description: Salon ManagerGot shears and a winning attitude Have a yearning to earn and a desire to hire and support other stylists Then let's talk Maybe you're a stylist who wants more responsibility,
Company: Great Clips
Location: Elmhurst
Posted on: 03/3/2021

Account Manager
Description: The Senior Account Manager will be instrumental in delivering sustained profitable growth for specific customer base s . This candidate will assist in creating, implement, and drive a viable strategy (more...)
Company: Hearthside Food Solutions
Location: Downers Grove
Posted on: 03/3/2021

Warehouse Manager
Description: Requisition ID 20722 br Position Type US Full Time br Career Function Supply Chain br Recruiter br Posting Type LI br Leading to better encompasses all we do at Kerry, it's how we've become (more...)
Company: Kerry
Location: Orland Park
Posted on: 03/3/2021

Warehouse manager
Description: Requisition ID 20722 br Position Type US Full Time br Career Function Supply Chain br Recruiter br Posting Type LI br Leading to better encompasses all we do at Kerry, it's how we've become (more...)
Company: Kerry
Location: Orland Park
Posted on: 03/3/2021

Log In or Create An Account

Get the latest Illinois jobs by following @recnetIL on Twitter!

Chicago RSS job feeds