Enhanced Due Diligence Senior Analyst
About The Position
Interactive Brokers Group, Inc. is a global financial services company with a long history of financial innovation. We are known for our cutting-edge technology and client commitment, providing global electronic brokerage services across various financial instruments to clients worldwide. We serve both individual investors and institutions, leveraging our advanced technology, competitive pricing, and global market access. Interactive Brokers is recognized as a leader in the financial services industry, consistently pushing boundaries to offer the best trading platform with sophisticated features at a low cost. This role is part of the Compliance team, which ensures the firm adheres to various financial laws and regulations, including the Bank Secrecy Act, USA PATRIOT Act, anti-terrorist financing, sanctions, industry AML, and securities laws. This is a hybrid role requiring 4 days in the office and 1 day remote.
Requirements
- 3+ years experience working for an exchange, a regulatory organization, a Broker Dealer (BD), a Futures Commission Merchant (FCM) or a similar organization.
- Excellent Bachelor-Level educational credentials with a focus on law, accounting, data analytics or similar areas.
- Experience in internal audit, legal, accounting, or other control functions of a financial services firm or regulator.
- Experience with due diligence reviews of banks, broker-dealers, mutual funds, and other financial institutions
- 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.
- Detail-oriented with outstanding organizational and project management skills.
Nice To Haves
- ACAMS, CFE, CFCS, Series 7, or other FINRA licenses or certifications a plus.
- Knowledge of Capital Markets and experience with trade surveillance.
Responsibilities
- Conducting reviews of new and existing clients' KYC profiles and transactions in accordance with established procedures in line with IBKR policy
- Assessing client's AML programs in accordance with established procedures in line with IBKR policy
- Advising management by collecting, analyzing, and summarizing data and trends.
- Maintain accurate tracking of assignments and requests for documentation to ensure appropriate deadlines are met.
- Contribute to streamlining current processes and identifying areas for improvement.
- Writing risk assessments, investigations, suspicious activity reports, and client communications
Benefits
- Competitive salary
- Annual performance-based bonus
- 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
- 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
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What This Job Offers
Job Type
Full-time
Career Level
Senior
