Trade Surveillance Compliance Manager

Profile

Interactive Brokers is looking to hire a Trade Surveillance Compliance Manager at its Chicago Office. This is a mid-level management position with room for growth for highly motivated and exceptional performers. The Compliance Manager will report to the Deputy Director of Trade Surveillance and will assist with ensuring the firm complies with the Bank Secrecy Act, USA PATRIOT Act, anti-terrorist financing, sanctions, AML, and securities laws and regulations.
Day-to-day responsibilities include:
Oversee and train a team of analysts responsible for reviewing surveillance alerts and ad hoc investigations related to trade practice violations.
Monitor and manage daily investigative workflow, controls, and metrics for the team, and ensure timely completion of tasks.
Address escalations from analysts and review and approve Suspicious Activity Reports (“SAR”) related to trade surveillance reviews.
Develop and maintain clear and concise desktop procedures for your team’s 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.
Required qualifications include:
3-5 years of experience in trade surveillance, preferably at a large broker/dealer, FCM, or SRO.
2 years of management experience.
Solid academic background. Bachelor’s Degree in Finance, Business Administration, Economics, Math, or Computer Science is preferred.
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.
Company Benefits & Perks
Competitive salary, annual performance-based bonus and stock grant
Retirement plan 401(k) with competitive 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
Modern offices with sit/stand desks and multi-monitor setups
Company Overview
Interactive Brokers (IBKR), a subsidiary of publicly-traded **MEMBERS ONLY**SIGN UP NOW***., 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, 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.
(If the
hyperlink
is not active, copy and paste the following URL in your browser: ****For more information, please visit ****

Company info

Sign Up Now - MiamiCrossing.com