AML Compliance - Senior Analyst
This is a hybrid role (4 days in the office / 1 days remote)Interactive Brokers is looking to hire a Senior Analyst - Compliance in our office in Chicago, IL. This position has excellent growth potential for highly motivated and exceptional performers. Senior Analysts will report to a Compliance Manager in our Chicago office and help ensure the firm complies with the Bank Secrecy Act, USA PATRIOT Act, anti-terrorist financing, sanctions, industry AML, and securities laws and regulations. This position is specifically focused on CAFFI (correspondent account foreign financial institution) EDD (enhanced due diligence).
Responsibilities:
Conduct ongoing review analysis of clients' KYC profile and transactions in accordance with established procedures in line with IBKR policy
Perform negative news and public domain searches on high-risk clients and related parties in different categories of EDD or financial crimes compliance
Write comprehensive risk assessments of our highest risk clients
Interact with internal stakeholders to complete reviews and provide efficiency for clients
Maintain accurate tracking of assignments and request for documentation to ensure appropriate deadlines are met
Escalate and investigate issues discovered during review
Assist in drafting, training, and maintenance of procedures and other documents
Act as a subject matter expert for CAFFI reviews
Qualifications:
A bachelor's degree or higher is the preferred education level. Preferred areas of study include accounting, criminal justice, finance, law, or similar areas, with strong analytical and quantitative skills. The ideal candidate will also have experience conducting Enhanced Due Diligence or financial crimes compliance reviews. Alternatively, experience in internal audit, testing and monitoring, legal, accounting, or other control functions could be a good fit. Candidates must be focused, adaptable, collaborative, and have strong time management and issue-spotting skills to thrive and succeed in the work environment.
High degree of comfort and fluency with computers and technology, and understanding of how technology is applied to business and regulatory problems.
Proficient in Excel, Word, and PowerPoint
Excellent oral and written communication skills
Detail-oriented with outstanding organizational and project management skills
Ability to work both independently as well as in a small team environment, and to multitask with minimal supervision
ACAMS Certification
Preferred Qualifications:
The ideal candidate for a senior analyst position will have all the qualifications above and some of the preferred qualifications below:
5 years direct experience in conducting Enhanced Due Diligence compliance reviews
CFE, CFCS, Series 7, or other FINRA licenses or certifications are a plus
Company Benefits:
Competitive salary, annual performance-based bonus, and stock grant awards
401(k) retirement plan with competitive company match
Excellent health and wellness benefits, including medical, dental, and vision benefits. 100% employer-paid medical premiums, with generous employer contributions to dental & vision plans as well.
Wellness screening and assessments, health coaches, and counseling services through an Employee Assistance Program (EAP)
Generous paid parental leave (up to 16 weeks paid parental leave for eligible employees)
Company-paid basic life insurance, accidental death & dismemberment (AD&D), and short- and long-term disability coverage
Flexible Spending Accounts (Healthcare, Dependent Care, and Commuter FSAs)
Quarterly fitness stipend to offset costs associated with traditional gym and fitness memberships or fees
Education reimbursement and professional development opportunities
Legal services, telehealth access, and voluntary insurance options
Backup child and adult care support through Care.com
Daily lunch allowance and fully stocked kitchen with healthy breakfast and snack options