Sanctions Governance Manager

Profile

Interactive Brokers is looking to hire a Sanctions Governance Manager at the Chicago Office. This is a mid-level management position with room for growth for highly motivated and exceptional performers. The Senior Sanctions Governance Manager will report to the Head of Sanctions and help ensure the firm complies with Bank Secrecy Act, USA PATRIOT Act, anti-terrorist financing, sanctions, industry AML, and securities laws and regulations.
Day-to-day responsibilities include:
File block and reject reports to OFAC within ten business days of reportable activity.
Monitor accounts restricted for sanctions compliance reasons to determine if restrictions can be lifted or if further escalation is required.
Act as subject matter expert on sanctioned securities and restricted issuers, and respond to business line inquiries on an ad-hoc basis
Oversight of the internal screening filter, including list maintenance, assessing tuning results and setting thresholds
Identifying and supporting technology enhancements to screening tools and workflow
Develop and maintain WSPs, desktop procedures, and job aids to support the Sanctions Program.
Support Training and Education team in developing firm-wide sanctions training.
Develop Sanctions controls as needed when new Sanctions regulations are released.
Keep up to date with all applicable US sanctions against individuals, entities, countries and securities products.
Assist in developing and rolling out sanctions-related communications and training for business and operations groups.
Review and advise on regulatory, internal audit and Compliance Assurance issues and findings related to the Sanctions Program.
Required qualifications include:
Eight-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 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, 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
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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.
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