Financial Intelligence Unit (FIU) Manager Financial Intelligence Unit (FIU) Manager …

Interactive Brokers
in Chicago, IL, United States
Permanent, Full time
Last application, 28 Sep 20
Competitive
Interactive Brokers
in Chicago, IL, United States
Permanent, Full time
Last application, 28 Sep 20
Competitive
Financial Intelligence Unit (FIU) Manager
Job Description & Requirements
Interactive Brokers LLC is seeking a motivated and talented Manager for our Financial Intelligence Unit (FIU). The position will be located in our Chicago office.

The manager will be expected to:
  • Protect the company from suspected criminal activities, with a focus on the Bank Secrecy Act (BSA) and other AML laws, regulations, and requirements.
  • Train and lead a growing team of analysts responsible for performing AML investigations of account activity and conducting surveillance reviews.
  • Review and approve comprehensive investigative reports, including Suspicious Activity Reports (SARs).
  • Monitor and manage daily investigative workflow, controls, and results metrics for the team, and ensure timely completion of tasks.
  • Conduct supervisory reviews and provide constructive coaching and direction to less experienced team members.
  • Engage senior management across corporate compliance, operations, and information technology to manage, report on, and improve investigative work.
  • Develop consistent processes and procedures in accordance with the company's KYC/AML policies and meet the expectations of AML management and regulatory guidance.
  • When needed, support and participate in internal, external, and regulatory audits and examinations.


Qualifications
  • Minimum 3-5 years' experience handling AML matters at a regulator, industry association, law firm, consulting firm, an investment advisory firm, or another broker-dealer are preferred.
  • Appropriate securities and/or commodities registrations and/or ability to complete further required registration exams promptly.
  • 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.
  • Ability to work under pressure, formulate and articulate solutions, and defend assumptions.
  • Bachelor's degree or military experience.

Preferred Qualifications:
  • Certified Anti-Money Laundering Specialist (CAMS) or similar certification strongly preferred.


Company Overview
Interactive Brokers 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, Canada, the United Kingdom, Switzerland, Hungary, Estonia, Russia, India, Hong Kong, China, Japan and Australia.
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 hyperlink is deactivated please copy https://www.interactivebrokers.com/en/index.php?f=31899 to your browser)
For more information, please visit www.ibkr.com/info

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