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AML Compliance Manager - Quality Assurance (QA)

Company: Interactive Brokers Group, Inc.
Location: Chicago
Posted on: January 27, 2023

Job Description:

Interactive Brokers is looking to hire a Compliance Manager at the Chicago office. This is a mid-level management position with room for growth for highly motivated and exceptional performers. This role will report to the AML Compliance Unit Head for Quality Assurance and Testing & Monitoring. They will ensure the firm complies with the Bank Secrecy Act, USA PATRIOT Act, anti-terrorist financing, sanctions, industry AML, and securities laws and regulations related to the US and foreign offices.
Responsibilities


  • Oversee and train a team of analysts responsible for conducting QA testing on transaction monitoring reviews and investigations.
  • Monitor and manage daily QA testing workflow, controls, and results from 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
  • Support and participate in internal, external, and regulatory audits and examinations when needed.

    Qualifications

    • Three to five plus years of experience in investment management/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.
    • 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.

      Company Benefits & Perks

      • Competitive salary, annual performance-based bonus and stock grant
      • Retirement plan 401(k) with a competitive company match
      • Excellent health and welfare benefits, including medical, dental, and vision benefits
      • Wellness screenings and assessments, health coaches and counseling services through an 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 multi-monitor setups

        #LI-LV1

Keywords: Interactive Brokers Group, Inc., Chicago , AML Compliance Manager - Quality Assurance (QA), Executive , Chicago, Illinois

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