Deputy AML Officer
- Chicago, IL, USA
- Permanent, Full time
- Interactive Brokers
- 23 Mar 19
Deputy AML Officer
Job Description and Responsibilities
Interactive Brokers is looking for a Deputy AML Officer in our Chicago office, who has experience in managing a firm-wide AML program. The Deputy Head of AML Compliance will work directly with the Chief AML Officer to manage the firm's AML and KYC policies and practices designed to ensure that the firm complies with Bank Secrecy Act, USA PATRIOT Act, anti-terrorist financing, sanctions, and industry anti-money laundering laws and regulations.
- Serve as a chief-of-staff to the Chief AML Officer and help oversee the firm's AML, sanctions, and KYC screening policies, and monitor the effectiveness of those policies;
- Work with New Accounts and Surveillance teams to calibrate and implement customer due diligence procedures;
- Assist the Chief AML Officer in maintaining and updating written policies and operational procedures as needed to reflect changes in BSA and other applicable laws;
- Assist the firm's in-house counsel in responding to regulatory or enforcement inquiries regarding AML policies or issues;
- Work directly with the Chief AML Officer to oversee the firm's efforts to make appropriate AML regulatory filings regarding customer activity, including SARs;
- Assist the Chief AML Officer in maintaining and updating the firm's AML and KYC compliance training programs; and
- Assist in developing and implementing remedial action plans in response to internal and external audit findings.
- At least 5-10 years of experience in AML compliance, preferably at a large broker or other financial institution with an international customer base;
- Appropriate securities and/or commodities registrations and/or ability to complete further required registration exams promptly;
- High degree of comfort with computers and technology, and understanding of how technology is applied to business and regulatory problems;
- Certified Anti-Money Laundering Specialist (CAMS) or similar certification strongly preferred;
- Solid academic background;
- Outstanding oral and written communication skills; and
- Ability to develop compliance solutions that satisfy relevant regulations while executing sound business judgment.
Interactive Brokers LLC, a subsidiary of Interactive Brokers Group, Inc. (IEX: IBKR) is a direct access electronic broker catering to the needs of professional and frequent traders, institutional investors, financial advisors, and introducing brokers. Our clients have access to more than 120 market centers in 31 countries from a single account. We are the lowest cost provider of brokerage services and the largest U.S. electronic broker based on daily average revenue trades executing over 850,000 trades per day.[i] 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.
[i] Figures as of January 1, 2019. Information on the company can be found at www.interactivebrokers.com
Click the link to view a short video with a few words from current Interactive Brokers employees: https://www.interactivebrokers.com/en/index.php?f=31899