AML Compliance Manager - Quality Assurance (QA)
Company: Interactive Brokers Group, Inc.
Posted on: January 27, 2023
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.
- Oversee and train a team of analysts responsible for conducting
QA testing on transaction monitoring reviews and
- Monitor and manage daily QA testing workflow, controls, and
results from metrics for the team and ensure timely completion of
- 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.
- 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
- 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
- Outstanding leadership, communication, analytical, and project
- Willingness and ability to obtain financial registration exams
- 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
- Retirement plan 401(k) with a competitive company
- 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
- 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
Keywords: Interactive Brokers Group, Inc., Chicago , AML Compliance Manager - Quality Assurance (QA), Executive , Chicago, Illinois
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