AML Compliance Manager Quality Assurance QA

Profile

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
Company Overview
Interactive Brokers LLC, a subsidiary of **MEMBERS ONLY**SIGN UP NOW***. (Ticker: IBKR) is a direct access electronic broker serving professionals, frequent traders, institutional investors, financial advisors and introducing brokers. Our clients have access to more than 150 market centers around the world from a single integrated account. Our employees are part of a dynamic, multi-national, fast-paced, results-oriented team that has spent four decades focused on advanced technology and automation that equips our clients with a uniquely sophisticated platform to manage their investment portfolios. We provide our clients with advantageous execution prices, risk and portfolio management tools, research facilities and investment products, at low or no cost, positioning them to achieve superior returns.
Headquartered in Greenwich, CT, USA. IBKR has offices in more than 15 countries across the world.
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 the link to view a short video with a few words from current Interactive Brokers employees: ****

Company info

Sign Up Now - WashingtondcCrossing.com