New Accounts Approval Manager/Principal

Profile

Interactive Brokers (IBKR) is looking to hire a New Accounts Approval Manager/Principal at the Chicago Office. This is a mid-level management position with room for growth for highly motivated and exceptional performers. The New Accounts Approval Manager Manager will report to the Head of New Accounts and will be responsible for managing all approvals of applicants for the New Accounts Department 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:
Partner with senior management to work on day to day account approval operations of the firm
Serve as the FINRA registered Principal Operations Officer (POO)/Registered Option Principal
Provide regulatory oversight, risk management and policy implementation for broker-dealer financial and operational regulatory responsibilities
Provide direction and guidance to firm leadership on financial and operational matters affecting compliance with FINRA and SEC regulations
Identify, assess and communicate new or changing regulatory requirements and proactively develop approval policies and procedures to address changes in regulation
Collaborate with relevant teams to ensure that new systems, products and processes will function in compliance with FINRA, SEC and other regulations
Approve new account in accordance with IBKR and US regulator rules and regulations
Requirements:
10 years of experience with a broker-dealer, regulatory agency or a consulting firm engaged in compliance/operations work for broker-dealers
4 year plus of management experience
FINRA Series 4 and 24 required; other certifications including Certified Anti-Money Laundering Specialist (CAMS) helpful
Bachelor’s degree in a related field or equivalent combination of education and experience
Broad knowledge of FINRA, SEC, banking and consumer finance regulations
Ability to work in a fast-paced environment, supervise numerous staff, and multi-task with minimal supervision.
Proactive, motivated, self-started preferred
High degree of comfort with technology and a functional understanding of how technology can be applied to business and regulatory solutions
Proficient in Microsoft Office and Google Suite, familiarity with FINRA Firm Gateway and SEC EDGAR a plus
Must have strong US market knowledge – Equities, Options, Futures, FX
Candidates with prior experience in the areas of middle/back office operations and compliance will be given priority
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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