Fraud and AML Compliance Analyst

Profile

Interactive Brokers is looking to hire a full-time Compliance Fraud Analyst. This is a position with excellent growth potential for highly motivated and exceptional performers. Compliance Fraud Analysts will report to a Compliance Manager in our Chicago office and will assist with ensuring the firm complies with Bank Secrecy Act, USA PATRIOT Act, anti-terrorist financing, sanctions, industry AML, and securities laws and regulations.
Responsibilities
Conduct thorough surveillance report reviews and ad hoc investigations into potential fraud, money laundering, manipulative trading and other potential violations of laws and regulations.
Perform fraud investigations and communicate resolutions to management.
Analyze the results of complex investigations and provide concise written conclusions of your findings to your Compliance Manager.
Communicate directly with U.S. and foreign clients as part of compliance related reviews.
Identity potential threats, vulnerabilities and suspicious behavior patterns and recommend effective mitigation measures.
Work with programmers to improve systems and address compliance needs.
Review and draft Suspicious Activity Reports (“SARs”)
Qualifications, Skills & Attributes
The ideal candidate will have some regulatory compliance experience working for an exchange, a regulatory organization, a Broker Dealer (BD), a Futures Commission Merchant (FCM) or similar organization. Alternatively, experience in internal audit, legal, accounting or other control function of a financial services firm or regulator would be beneficial. In the absence of direct industry experience, we will also consider applicants with excellent Bachelor’s-level educational credentials who have some background in law, accounting, data analytics or similar areas with strong analytical and quantitative skills. In order to thrive and succeed in a remote work environment candidates must be focused, adaptable, collaborative and have strong time management skills.
Preferred qualifications include:
1-3 years of experience conducting fraud or financial crimes investigations on behalf of an SRO, Broker Dealer or FCM.
College degree is required. Acceptable majors include: Finance, Accounting, Auditing, Criminal Justice, Economics, Forensic Science/Technology or Financial Forensics and Fraud Investigations.
High degree of comfort and fluency with computers and technology and understanding of how technology is applied to business and regulatory problems.
Excellent oral and written communication skills
Detail-oriented with outstanding organizational and project management skills
Ability to work both independently as well as in a small-team environment, and to multi-task with minimal supervision
ACAMS, CFE, CFCS, Series 7, or other FINRA licenses or certifications a plus
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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