Chief AML Officer, Interactive Brokers
$200-300k
+ Discretionary cash bonus and stock award
4 days a week in office
Online broker
Be an early applicant
Online broker
1001+ employees
Be an early applicant
$200-300k
+ Discretionary cash bonus and stock award
4 days a week in office
1001+ employees
Company mission
To create technology to provide liquidity on better terms.
Role
Who you are
- 7–10+ years of AML compliance experience, ideally at a large broker-dealer or financial institution with an international client base
- Experience managing AML teams
- Strong understanding of FINRA, SEC, CFTC, and FinCEN AML regulatory requirements for broker-dealers
- CAMS certification (or equivalent) required
- Series 24 registration or ability to obtain promptly preferred
- Strong technology aptitude with the ability to apply tech solutions to business and regulatory challenges
- Excellent written and verbal communication skills
- Proven ability to design compliance solutions that balance regulatory requirements with sound business judgment
- Experience with AML transaction monitoring systems and case management tools
- Strong academic background
- 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
What the job involves
- Interactive Brokers LLC is seeking an experienced Chief AML Officer to lead and execute our firm-wide AML program from our Chicago office
- In this role, you will collaborate with Compliance, Legal, and Operations teams to ensure full adherence to the Bank Secrecy Act (BSA), USA PATRIOT Act, anti-terrorist financing regulations, securities and commodities AML laws and regulations
- Lead AML Compliance – Oversee firm-wide AML compliance; serve as primary point of contact with regulators, FinCEN, and law enforcement
- Personnel Management – Manage team of approximately 200 personnel, primarily in Chicago
- Policy Management – Maintain and update written policies and procedures to reflect evolving BSA and regulatory requirements
- Surveillance Reports Design – Help guide our in-house developers in designing and enhancing exception-based surveillance reports that reflect current regulatory expectations, industry best practices, and the firm’s evolving risk profile
- Regulatory Support – Partner with in-house counsel to respond to regulatory and enforcement inquiries related to AML matters
- Customer Due Diligence – Collaborate with New Accounts and Enhanced Due Diligence teams to calibrate and implement KYC procedures
- Training – Maintain and continuously improve AML and KYC compliance training programs
- Staffing & Operations – Assess staffing needs and ensure teams are appropriately resourced
- Efficiency and automation – Help design enhancements to our AML systems and processes to reduce unnecessary manual work and allow analysts to focus on meaningful alerts and analysis
- Audit Response – Develop and execute remedial action plans in response to internal and external audit findings
Our take
Interactive Brokers is an automated electronic broker, empowering users to analyse global stock markets, manage portfolios, and explore diverse investment assets. With a history spanning over 45 years, the company has thrived by adapting to evolving digital trading trends. Its comprehensive suite of services includes analytical tools, asset marketplaces, and seamless third-party integration, enhancing portfolio management capabilities.
Boasting over $11.6 billion in equity capital, Interactive Brokers remains at the forefront of industry innovation. The company has embraced the rising popularity of cryptocurrency, offering customers access to crypto trading through a partnership with Paxos Trust Company. This proactive approach reaffirms Interactive Brokers' position as a forward-thinking player in the ever-changing trading landscape.
Recently, Interactive Brokers expanded its trading hours for U.S. Treasury bonds to 22 hours a day, allowing global clients to trade during their local hours and quickly respond to market news. This extension reflects the company's commitment to flexibility and comprehensive service, meeting the diverse needs of clients in over 200 countries and territories.
Kirsty
Company Specialist at Welcome to the Jungle
Insights
8% employee growth in 12 months
Company
Company benefits
- Competitive Pay with discretionary bonus packages which may include company stock grants
- Comprehensive Health Plans that include extensive Vision, Dental and Prescription coverage
- 401k Retirement Savings Plan (generous company match)
- Daily Lunch Allowance
- Wellness Incentives
- Flexible Spending Accounts
- Paid Personal Time and Sick Leave
Company HQ
Greenwich, CT
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