Fraud and AML Compliance Analyst
Interactive Brokers is looking to hire a full-time Compliance Fraud Analyst. This is a position with excellent growth potential for highly motivated and exceptional performers. Compliance Fraud Analysts will report to a Compliance Manager in our Chicago office and will assist with ensuring the firm complies with Bank Secrecy Act, USA PATRIOT Act, anti-terrorist financing, sanctions, industry AML, and securities laws and regulations.
- Conduct thorough surveillance report reviews and ad hoc investigations into potential fraud, money laundering, manipulative trading and other potential violations of laws and regulations.
- Perform fraud investigations and communicate resolutions to management.
- Analyze the results of complex investigations and provide concise written conclusions of your findings to your Compliance Manager.
- Communicate directly with U.S. and foreign clients as part of compliance related reviews.
- Identity potential threats, vulnerabilities and suspicious behavior patterns and recommend effective mitigation measures.
- Work with programmers to improve systems and address compliance needs.
- Review and draft Suspicious Activity Reports (“SARs”)
Qualifications, Skills & Attributes
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 similar organization. Alternatively, experience in internal audit, legal, accounting or other control function of a financial services firm or regulator would be beneficial. In the absence of direct industry experience, we will also consider applicants with excellent Bachelor’s-level educational credentials who have some background in law, accounting, data analytics or similar areas with strong analytical and quantitative skills. In order to thrive and succeed in a remote work environment candidates must be focused, adaptable, collaborative and have strong time management skills.
Preferred qualifications include:
- 1-3 years of experience conducting fraud or financial crimes investigations on behalf of an SRO, Broker Dealer or FCM.
- College degree is required. Acceptable majors include: Finance, Accounting, Auditing, Criminal Justice, Economics, Forensic Science/Technology or Financial Forensics and Fraud Investigations.
- High degree of comfort and fluency with computers and technology and 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 a plus
Company Benefits & Perks
- Competitive salary, annual performance-based bonus and stock grant
- Retirement plan 401(k) with competitive company match
- Excellent health and welfare benefits including medical, dental, and vision benefits
- Wellness screenings and assessments, health coaches and counseling services through Employee Assistance Program (EAP)
- Paid time off and a generous parental leave policy
- 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
- Education reimbursement and learning opportunities
- Modern offices with sit/stand desks and multi-monitor setups