Manager - Trade Surveillance
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Overview
Job Description
Company Overview
Interactive Brokers Group, Inc. (Nasdaq: IBKR) is a global financial services company headquartered in Greenwich, CT, USA, with offices in over 15 countries. We have been at the forefront of financial innovation for over four decades, known for our cutting-edge technology and client commitment.
IBKR affiliates provide global electronic brokerage services around the clock on stocks, options, futures, currencies, bonds, and funds to clients in over 200 countries and territories. We serve individual investors and institutions, including financial advisors, hedge funds and introducing brokers. Our advanced technology, competitive pricing, and global market help our clients to make the most of their investments.
Barron's has recognized Interactive Brokers as the #1 online broker for six consecutive years. Join our dynamic, multi-national team and be a part of a company that simplifies and enhances financial opportunities using state-of-the-art technology.
This is Hybrid role (4 days in office /1 day remote)
Interactive Brokers is looking to hire a Trade Surveillance Compliance Manager at its Chicago Office. This is a mid-level management position with room for growth for highly motivated and exceptional performers. The Compliance Manager will report to the Deputy Director of Trade Surveillance and will assist with ensuring the firm complies with the Bank Secrecy Act, USA PATRIOT Act, anti-terrorist financing, sanctions, AML, and securities laws and regulations.
Responsibilities:
- Oversee and train a team of analysts responsible for reviewing surveillance alerts and ad hoc investigations related to trade practice violations.
- Monitor and manage the team's daily investigative workflow, controls, and metrics and ensure the timely completion of tasks.
- Address escalations from analysts and review and approve Suspicious Activity Reports ("SAR") related to trade surveillance reviews.
- Develop and maintain clear and concise desktop procedures for your team's tasks.
- Engage senior management across corporate compliance, operations, and information technology to manage, report on, and improve investigative work.
- Conduct supervisory reviews and provide constructive coaching and direction to team members.
- Evaluate risk associated with AML and Financial Crime Risk processes and recommend enhancements, where appropriate.
- Support and participate in internal, external, and regulatory audits and examinations when needed.
Qualification:
- 3 to 5+ years of experience in trade surveillance, preferably at a large broker/dealer, FCM, or SRO.
- 2+ years of management experience.
- Solid academic background, with preference for a bachelor's degree in Finance, Business Administration, Economics, Math, or Computer Science.
- Ability to develop compliance solutions that satisfy relevant regulations while executing sound business judgment.
- Ability to work in a small-team environment, work independently, and multitask with minimal supervision.
- 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.
- Willingness and ability to obtain financial registration exams promptly
- Certified Anti-Money Laundering Specialist (CAMS) or similar certification, including Series 7 or 24, is highly preferred.
To be successful in this position, you will have the following:
- Self-motivated and able to handle tasks with minimal supervision.
- Superb analytical and problem-solving skills.
- Excellent collaboration and communication (Verbal and written) skills.
- Outstanding organizational and time management skills.
Company Benefits & Perks
- Competitive salary, annual performance-based bonus and stock grant
- Retirement plan 401(k) with competitive company match
- Excellent health and wellness benefits, including medical, dental, and vision benefits. Company paid medical healthcare premium.
- Wellness screenings and assessments, health coaches and counseling services through an Employee Assistance Program (EAP)
- Daily company lunch allowance provided 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
This role's anticipated base salary range is $100,000 to $110,000 annually based on skill's and experience. The offered salary is just part of the total compensation package. In addition to a competitive salary, the company offers both a discretionary cash bonus and stock award as well as a wide range of benefits, including health care, tuition reimbursement and much more
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