Deputy Head of Financial Investigations Unit (FIU)

Company Overview

Interactive Brokers Group, Inc. (Nasdaq: IBKR) is a global financial services company headquartered in Greenwich, CT, USA, with offices in over 15 countries. We have been at the forefront of financial innovation for over four decades, known for our cutting-edge technology and client commitment.

IBKR affiliates provide global electronic brokerage services around the clock on stocks, options, futures, currencies, bonds, and funds to clients in over 200 countries and territories. We serve individual investors and institutions, including financial advisors, hedge funds and introducing brokers. Our advanced technology, competitive pricing, and global market help our clients to make the most of their investments.

Barron's has recognized Interactive Brokers as the #1 online broker for six consecutive years. Join our dynamic, multi-national team and be a part of a company that simplifies and enhances financial opportunities using state-of-the-art technology.

This is a hybrid role (3 days in the office/2 days remote).

Interactive Brokers LLC seeks a Deputy Head of the Anti-Money Laundering (“AML”) Financial Intelligence Unit (“FIU”) to be located in our Chicago Operations Center. The Deputy Head of FIU should have experience directing and operating FIU teams, identifying efficiencies in existing operational processes, and building out and improving upon segments of the AML program. The Deputy Head of FIU will manage several investigative/intelligence teams and report to the firm’s Head of the FIU. The Deputy Head of FIU will help ensure the firm complies with the Bank Secrecy Act, USA PATRIOT Act, anti-terrorist financing, sanctions, and industry AML laws and regulations.

 Responsibilities: 

• Manage and oversee AML FIU Operational teams and make suggestions for those teams, their procedures and processes.
• Propose and implement process changes for efficiency and appropriate risk management.
• Experience developing typologies, trends, and analytical assessments.
• Perform supervisory activities including assessment of staffing models, training, development, and performance assessments.
• Maintain oversight for the 314(a), 314(b), and regulatory inquiries processes.
• Create and/or review policy and procedures for various functions within the FIU.
• Coordinate with cross-functional groups to provide resolution for escalations and complex scenarios.
• Establish and maintain a robust inventory of controls, operational metrics, and reporting.
• All other duties or responsibilities assigned.

 Qualifications: 

• 7+ years of experience within AML/Fraud compliance and Financial Services operations, preferably at a large broker or financial institution with an international client base.
• 3+ years of management experience.
• Certified Anti-Money Laundering Specialist (CAMS) or similar certification.
• Knowledge of List Screening Operations, Transaction Monitoring or Trade Surveillance Operations, and Negative Media dispositioning.
• Problem solver, innovative thinker, and strong ownership mentality.
• Outstanding leadership, communication, analytical, and project management skills.
• Ability to develop compliance solutions that satisfy relevant regulations while executing sound business judgment.
• High degree of comfort with technology and a functional understanding of how technology can be applied to business and regulatory solutions.
• Bachelor’s degree or military experience.
• Willingness and ability to obtain financial registration exams promptly.

Preferred Qualifications:

• Series 7 / 24 certifications are a plus.
• Business Process Management or similar certifications are a plus.

 To be successful in this position, you will have the following:

• 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.

Company Benefits & Perks: