Head of AML Surveillance Head of AML Surveillance …

Interactive Brokers
in Dublin, Leinster, Ireland
Permanent, Full time
Last application, 24 Nov 20
Competitive
Interactive Brokers
in Dublin, Leinster, Ireland
Permanent, Full time
Last application, 24 Nov 20
Competitive
Head of AML Surveillance
Job Description & Responsibilities
  • Manage a team responsible for the firm's transaction AML surveillance efforts.
  • Ensure that any potentially suspicious transactions identified are investigated, documented, and if deemed suspicious, reported to the authorities by the Investigations/SARs and Regulatory Reporting team.
  • Ensure the firm's AML surveillance efforts meet regulatory expectations and the firm's policies and procedures.
  • Work with regional and global surveillance partners to ensure a seamless disposition of transaction and cashiering alerts that impact multiple markets and operating entities.
  • Identify and help design any enhancements or modifications to the firm's trade surveillance systems or alerts necessary to identify potential market abuse or market manipulation.
  • Oversee the preparation and submission of suspicious activity reports resulting from Transaction Monitoring analysis to the AML Investigations/SARs and Regulatory Reporting team.
  • Assist the firm's Head of AML in responding to regulatory, exchange or law enforcement inquiries.
  • Track AML Compliance issues identified as a result of internal/external reviews of the AML Surveillance Programme and developing new reports and tools where appropriate.
  • Assist with updating and implementing IBIE AML policies and procedures.
  • Support AML Compliance related projects and activities that impact IBIE.
  • Keep up to date with changes to regulations and other relevant areas of law that would impact the AML Transaction Surveillance Programme.
  • Contribute to management reporting and the MI Dashboard by tracking data points that reflect the current and ongoing financial crime risks and escalating emerging risks that fall outside of the firm's risk appetite statement to senior management.
  • Develop ongoing communication with individuals who perform a similar role in other jurisdictions to leverage 'best practices."


Management:
  • Provide monthly/quarterly/annual updates for inclusion in appropriate management reports.
  • Conduct AML training for existing employees and new hires, alongside other AML Team Leaders.
  • Ensure governance timetable routines and deadlines are met.
  • Track and ensure that all trade surveillance issues identified as part of regulatory audits or exams, internal/external audits or self-identified issues are remediated in a timely manner.
  • Manage the personal development and assessment of the AML team.


Qualification & Skills
  • At least 5+ years' experience in AML compliance, preferably at a large broker or other financial institution with a European customer base or an EU regulator.
  • A Bachelor's degree in law, business, finance, or accounting preferred or Certified Anti-Money Laundering Specialist (CAMS) or similar ICA Diploma.
  • Good knowledge of Irish regulations and European Directives in connection with Transaction Monitoring & Surveillance requirements.
  • Strong analytical skills, able to manipulate data, produce MI, and prepare reports. Business Process Management or similar certifications are beneficial.
  • Excellent oral and written communication skills.
  • Ability to develop compliance solutions that satisfy relevant regulations while executing sound business judgement.
  • Experience of supervising and managing a team, or demonstrable ability to step up into a leadership role.


Company Overview
Interactive Brokers ("IBKR"), a subsidiary of publicly-traded Interactive Brokers Group, Inc., 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.
Click HERE to view a short video with a few words from current Interactive Brokers employees.
(If the hyperlink is not active, copy and paste the following URL in your browser: https://www.interactivebrokers.com/en/index.php?f=31899 ) For more information, please visit www.ibkr.com/info

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