Enhanced Due Diligence EDD Manager

Profile

Interactive Brokers (IBKR) is looking to hire a New Accounts Enhanced Due Diligence (EDD) Manager at the Chicago Office. This is a mid-level management position with room for growth for highly motivated and exceptional performers. The New Accounts EDD Manager will report to the Head of New Accounts and will be responsible for managing EDD reviews of applicants for new accounts to ensure compliance with applicable self-regulatory organization rules, as well as anti-money laundering, countering the financing of terrorism, sanctions, and securities laws and regulations.
Responsibilities:
Directly manage a team of New Accounts processors responsible for conducting EDD reviews of certain higher risk new account applicants
Serve as the escalation point for EDD issues during customer onboarding and keep leadership apprised of potential areas of concern related to specific EDD reviews and the EDD program overall
Develop and maintain desktop procedures and job aids related to EDD reviews and ensure that such procedures are aligned with EDD procedures maintained by the Compliance department
Represent the New Accounts team in working groups related to EDD, both within New Accounts and in discussions with AML or developers
Monitor and manage daily EDD workflow, controls, and metrics for the team, and ensure timely completion of EDD tasks
Engage senior management across compliance, operations, and information technology to manage, report on, and improve EDD workflow
Conduct supervisory reviews and provide constructive coaching and direction to EDD team members
When needed, support and participate in internal, external, and regulatory audits and examinations
Qualifications:
5-10 years of experience in AML/BSA/KYC compliance at customer onboarding with a large broker-dealer or other financial institution with an international customer base
2 years of management experience
Solid academic background. Bachelor’s Degree required
Ability to develop operational solutions that satisfy relevant regulations while executing sound business judgment
Ability to work in a fast-paced environment, work independently, supervise numerous staff, 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, and FINRA 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, 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.
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