Manager - Trade Surveillance

Interactive Brokers•Chicago, IL

21h•Hybrid

About The Position

Interactive Brokers Group, Inc. is a global financial services company seeking a Trade Surveillance Compliance Manager for its Chicago Office. This is a mid-level management position with room for growth. The Compliance Manager will report to the Deputy Director of Trade Surveillance and will assist with ensuring the firm complies with various financial laws and regulations including the Bank Secrecy Act, USA PATRIOT Act, anti-terrorist financing, sanctions, AML, and securities laws and regulations. This is a Hybrid role (4 days in office /1 day remote).

Requirements

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.

Nice To Haves

Certified Anti-Money Laundering Specialist (CAMS) or similar certification, including Series 7 or 24, is highly preferred.
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.

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.

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
Learning opportunities