AML - Analyst Regulatory Correspondence

Interactive Brokers Group
Chicago
Workplace: HybridFull timeFunction: Quality & Regulatory (Non-Software)Experience: 2+ yearsEducation: bachelorsSkills: ["Problem-solving","Communication","Collaboration","Ownership","Organizational skills"]

Investigate and analyze client account and transaction activity to identify potential AML/CFT, terrorist financing, sanctions, and other financial crime risks. Review complex data sets, client profiles, and trading patterns for red flags, and coordinate with internal stakeholders to escalate concerns. Monitor, document, and stay current with AML/CFT regulations, trading rules, emerging trends, and internal policies while working from the Chicago Operations Center in a hybrid schedule.

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Interactive Brokers Group
Interactive Brokers Group
1 month ago

AML - Analyst Regulatory Correspondence

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Source: Company careers pageValidated by: Fursa AI
Last checked: 1 hour agoStatus: Closed

Job Summary

Investigate and analyze client account and transaction activity to identify potential AML/CFT, terrorist financing, sanctions, and other financial crime risks. Review complex data sets, client profiles, and trading patterns for red flags, and coordinate with internal stakeholders to escalate concerns. Monitor, document, and stay current with AML/CFT regulations, trading rules, emerging trends, and internal policies while working from the Chicago Operations Center in a hybrid schedule.
Location: Chicago
Workplace: Hybrid
Employment Type: Full time
Job Function: Quality & Regulatory (Non-Software)
Seniority: Mid level

Key Responsibilities

  • •Thoroughly investigate client account and transaction activity to identify potential money laundering, terrorist financing, manipulative trading, or other financial crime behavior.
  • •Analyze complex data sets, client profiles, and transaction patterns to identify inconsistencies, anomalies, and red flags.
  • •Collaborate with internal stakeholders to gather information, escalate concerns, and coordinate appropriate responses to identified risks.
  • •Monitor and document activity according to internal procedures, regulatory expectations, and industry best practices.
  • •Stay current with AML/CFT regulations, trading rules, emerging financial trends, and internal policies.

Pay and Benefits

Perks:401kHealth InsuranceDentalVisionPaid LeaveLife InsuranceLong-term DisabilityGym Membership

Key Requirements

  • •2-3+ years of AML/Fraud compliance experience in a financial services institution, preferably at a broker-dealer or large financial institution (or similar regulatory-agency experience).
  • •Strong background in trading or conducting trading reviews is beneficial.
  • •Bachelor’s degree or military experience.
  • •Certified Anti-Money Laundering Specialist (CAMS) or FINRA licenses (SIE, Series 7, etc.) strongly preferred; otherwise, willingness to obtain relevant licensures/certifications promptly.
  • •Demonstrated problem-solving/innovation with excellent verbal and written communication and an ownership mentality.
Experience:2+ yearsFinancial servicesAMLFraud compliance
Education:Bachelor's
Skills:Problem-solvingCommunicationCollaborationOwnershipOrganizational skills
Licenses:FINRA SIESeries 7
Certifications:CAMS

Company Brief

Interactive Brokers Group
Operates an electronic trading platform providing brokerage services for individuals and institutions across global markets, offering equities, options, futures, forex, bonds, and related clearing and custody services with advanced trading technology and low-cost executions.
Industry: Trading Platforms
Company Size: Enterprise (1,001+ employees)
Revenue: USD 1B+
Growth: Public Company
Valuation: Public Company (Market Cap in USD)
Funding: IPO / Publicly Listed
Headquarters: Greenwich, United States
Founded: 1977
WebsiteLinkedIn