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.
Responsibilities: - 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
What required skill you need:- 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
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:- Competitive salary, annual performance-based bonus, and stock grant awards
- 401(k) retirement plan with competitive company match
- Excellent health and wellness benefits, including medical, dental, and vision benefits. 100% employer-paid medical premiums, with generous employer contributions to dental & vision plans as well.
- Wellness screening and assessments, health coaches, and counseling services through an Employee Assistance Program (EAP)
- Generous paid parental leave (up to 16 weeks paid parental leave for eligible employees)
- Company-paid basic life insurance, accidental death & dismemberment (AD&D), and short- and long-term disability coverage
- Flexible Spending Accounts (Healthcare, Dependent Care, and Commuter FSAs)
- Quarterly fitness stipend to offset costs associated with traditional gym and fitness memberships or fees
- Education reimbursement and professional development opportunities
- Legal services, telehealth access, and voluntary insurance options
- Backup child and adult care support through Care.com
- Daily lunch allowance and fully stocked kitchen with healthy breakfast and snack options
