Simplify Logo

Full-Time

Regulatory Correspondence Manager

Confirmed live in the last 24 hours

Interactive Brokers

Interactive Brokers

1,001-5,000 employees

Trading platform with advanced liquidity tools

Fintech

Expert

Chicago, IL, USA

Category
Risk & Compliance
Legal & Compliance
Required Skills
Communications
Management
Requirements
  • 5-10+ years of experience in AML compliance, market regulation, or investment management compliance
  • 2+ years of management experience
  • Solid academic background – Bachelor’s Degree or equivalent military experience
  • Ability to work independently in a small team environment and manage competing priorities
  • Ability to clearly and concisely express complex financial concepts
  • A high degree of comfort with technology and a functional understanding of how technology can be applied to business and regulatory solutions
  • Outstanding leadership, communication, analytical, and project management skills
  • Willingness and ability to promptly obtain financial registrations or certifications. Certified Anti-Money Laundering Specialist (CAMS) or similar certification, including Series 7 or 24, is highly preferred
Responsibilities
  • Oversee and train a team of analysts responsible for:
  • Reviewing regulatory requests from federal and state securities regulators, self-regulatory organizations (SROs), and law enforcement agencies
  • Conducting investigations to determine whether suspicious activity report (SAR) filing or other appropriate compliance action is warranted
  • Escalating other red flags to senior management for appropriate action
  • Monitor and manage daily workflow, controls, and performance metrics while ensuring the timely completion of tasks
  • Engage senior management across corporate compliance, operations, and information technology to manage, report on, and improve investigative work
  • Conduct supervisory reviews and provide constructive coaching and direction to team members
  • Constantly assess Firm operational and regulatory risk and recommend process enhancements where appropriate

Interactive Brokers LLC offers a comprehensive trading platform with a focus on liquidity and global products, leveraging over 45 years of trading technology expertise. The main technologies used include advanced trading tools and a focus on liquidity.

Company Stage

IPO

Total Funding

N/A

Headquarters

Greenwich, Connecticut

Founded

1977

Growth & Insights
Headcount

6 month growth

2%

1 year growth

4%

2 year growth

17%

Benefits

Competitive Pay with discretionary bonus packages which include company stock grants

Comprehensive Health Plans that include extensive Vision, Dental and Prescription coverage

Daily Lunch Allowance

401K Retirement Savings Plan (generous company match)

Wellness Incentives

Flexible Spending Accounts

Paid Personal Time and Sick Leave