Company name
Interactive Brokers Group, Inc.
Location
Chicago, IL, United States
Employment Type
Full-Time
Industry
Compliance, Audit
Posted on
Feb 08, 2023
Profile
Interactive Brokers is looking to hire Compliance Sanctions Testing Analysts for a temp project. We will consider remote candidates for this position. Analysts will report to Compliance Managers from Sanctions and Quality Assurance (“QA”) - Testing & Monitoring to help ensure the firm complies with the Bank Secrecy Act, USA PATRIOT Act, anti-terrorist financing, sanctions, industry AML, and securities laws and regulations.
The planned coverage area for testing of Sanctions Compliance includes (but is not limited to) the review of Sanctioned Securities, Accounts & Client Screening, Transaction Screening, Banned Banks, and the efficacy of systems used by Compliance to restrict accounts that are subject to sanctions.
Day-to-day responsibilities include:
Conduct testing and monitoring activities, including test data collection, assisting with developing test plans and test instructions, logging test cases and progress tracking, and performing adequacy reviews of policies, procedures, and other documents.
Analyze test results and summarize a list of observations from the completed testing.
Assist with preparing an executive report summarizing test objectives, observations, and conclusions from the completed testing.
Prepare management information, including collecting, analyzing, and summarizing data and trends from the completed testing.
The ideal candidate will have some regulatory compliance experience working for an exchange, a regulatory organization, a Broker Dealer (BD), a Futures Commission Merchant (FCM) or a similar organization.
Alternatively, experience in internal audit, legal, accounting or other control function of a financial services firm or regulator would be beneficial. Without direct industry experience, we will also consider applicants with excellent Bachelor’s-level educational credentials with some background in law, accounting, data analytics or similar areas with strong analytical and quantitative skills.
Qualifications, Skills & Attributes
Two-plus years of work experience in AML or Sanctions compliance
A high degree of comfort and fluency with computers and technology and an understanding of how technology is applied to business and regulatory problems.
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 multi-task
with minimal supervision
ACAMS, CFE, CFCS, Series 7, or other FINRA licenses or certifications are a plus
Capital Markets knowledge
Company Benefits & Perks
Daily company paid lunch and a fully stocked kitchen with healthy options for breakfast and snack
Corporate events including team outings, dinners, volunteer activities and company sports teams
Modern offices with multi-monitor setups
Company Overview
Interactive Brokers LLC, a subsidiary of Interactive Brokers Group, Inc. (Ticker: IBKR) is a direct access electronic broker serving professionals, frequent traders, institutional investors, financial advisors and introducing brokers. Our clients have access to more than 150 market centers around the world from a single integrated account. Our employees are part of a dynamic, multi-national, fast-paced, results-oriented team that has spent four decades focused on advanced technology and automation that equips our clients with a uniquely sophisticated platform to manage their investment portfolios. We provide our clients with advantageous execution prices, risk and portfolio management tools, research facilities and investment products, at low or no cost, positioning them to achieve superior returns.
Headquartered in Greenwich, CT, USA. IBKR has offices in more than 15 countries across the world.
IBKR is a member of NYSE, FINRA, and SIPC. Interactive Brokers Group brokerage affiliates are regulated by securities and commodities agencies around the world.
Click the link to view a short video with a few words from current Interactive Brokers employees: https://www.interactivebrokers.com/en/index.php?f=31899
Company info
Interactive Brokers Group, Inc.
Website : https://www.interactivebrokers.com