Interactive Brokers
Financial Services
Manager-TradeSurveillance
Neural analysis suggests this role is
optimal for Mid candidates.
“Manager - Trade Surveillance at Interactive Brokers. Skills: Trade Surveillance, Compliance Management, Regulatory Adherence, Team Leadership. 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”
What You'll Achieve.
Ensure the firm complies with the Bank Secrecy Act, USA PATRIOT Act, anti-terrorist financing, sanctions, AML, and securities laws and regulations; Ensure the timely completion of tasks; Recommend enhancements to AML and Financial Crime Risk processes
Industry & Context.
Analytical; Problem-solving skills
What They're Looking For.
Must Have
3 to 5+ years of experience in trade surveillance, 2+ years of management experience, 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, Willingness and ability to obtain financial registration exams promptly
Nice to Have
Bachelor's degree in Finance, Business Administration, Economics, Math, or Computer Science, Certified Anti-Money Laundering Specialist (CAMS) or similar certification, including Series 7 or 24
What You'll Do.
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
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
and information technology to manage
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
Support and participate in internal
and regulatory audits and examinations when needed
How You'll Work.
Team & Collaboration
Engage senior management across corporate compliance, operations, and information technology; Provide constructive coaching and direction to team members
Communication Scope
Communication; Verbal and written communication skills
Process & Methodology
Project management
Full 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.
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