Manager of AML Risk Assessments (1944)
Job Description and Responsibilities
Interactive Brokers is looking for a manager in its AML Department to manage the firm's periodic risk assessments of the firm's business. Responsibilities:
- Lead the firm's periodic assessment of the risks presented by its business lines under Bank Secrecy Act/Anti-Money Laundering (BSA/AML) and the Office of Foreign Asset Control (OFAC) rules;
- Ensure that the Risk Assessments are in compliance with the FFIEC Exam Manual and meet the expectations of management, internal auditors, and external regulators;
- Evaluate current AML processes and outline enhancements, where appropriate; and
- Identify the data needed to measure the risk factors and controls and draft appropriate queries for firm programmers.
- At least 3-5 years of experience in AML and/or 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;
- Familiarity with the FFIEC Examination Manual as it relates to AML, KYC, CIP, USA PATRIOT Act, and FinCEN guidance;
- 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 ("IBKR"), a subsidiary of publicly-traded Interactive Brokers Group, Inc., based in Greenwich, Connecticut (IEX: 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.
For more information, please visit www.ibkr.com/info