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Regulatory Correspondence Manager

Chicago, IL

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 a hybrid role (3 days in the office/2 days remote).

Interactive Brokers seeks to hire a Compliance Manager in the Regulatory Correspondence Unit in 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 Regulatory Correspondence Unit Head and operate as part of a broader team helping ensure that the firm complies with the Bank Secrecy Act, USA PATRIOT Act, anti-terrorist financing, sanctions, industry Anti-Money Laundering (AML), and securities laws, rules, and regulations.

Responsibilities: 

  • Oversee, train, and develop a team of analysts responsible for:
    • Reviewing regulatory requests from federal and state securities regulators, self-regulatory organizations (SROs), and law enforcement agencies
    • Conducting investigations to determine whether a suspicious activity report (SAR) filing or other appropriate compliance action is warranted
    • Escalating other red flags to senior management for appropriate action
  • Monitor and manage daily workflow, controls, and performance metrics while ensuring the timely completion of 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
  • Constantly assess the firm's operational and regulatory risk and recommend process enhancements where appropriate

Qualifications: 

  • 5 - 10+ years of experience in AML compliance, market regulation, or investment management compliance. Prior securities or commodities regulatory experience at the federal, state, or SRO level is strongly preferred
  • 2+ years of management experience
  • Solid academic background – Bachelor's degree or equivalent military experience
  • Ability to work independently in a small team environment and manage competing priorities
  • Ability to clearly and concisely express complex financial concepts
  • A 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 promptly obtain financial registrations or certifications. 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, and a company-paid medical healthcare premium
  • Wellness screenings and assessments, health coaches and counseling services through an Employee Assistance Program (EAP)
  • Paid time off and a generous parental leave policy
  • Daily company lunch allowance provided, and a fully stocked kitchen with healthy options for breakfast and snacks
  • Corporate events, including team outings, dinners, volunteer activities and company sports teams
  • Education reimbursement and learning opportunities
  • Modern offices with multi-monitor setups

 

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