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Sanctions Governance Manager
Confirmed live in the last 24 hours
Locations
Chicago, IL, USA
Experience Level
Entry
Junior
Mid
Senior
Expert
Requirements
  • Eight-plus years of experience in investment management/AML compliance, preferably at a large broker or other financial institution with an international client base
  • Two-plus years of management experience
  • Solid academic background. Bachelor's degree or commensurate military experience
  • Ability to develop compliance solutions that satisfy relevant regulations while executing sound business judgment
  • Ability to work in a small-team environment, work independently, and multi-task with minimal supervision
  • 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 obtain financial registration exams promptly
  • Certified Anti-Money Laundering Specialist (CAMS) or similar certification, including Series 7 or 24, is highly preferred
Responsibilities
  • File block and reject reports to OFAC within ten business days of reportable activity
  • Monitor accounts restricted for sanctions compliance reasons to determine if restrictions can be lifted or if further escalation is required
  • Act as subject matter expert on sanctioned securities and restricted issuers, and respond to business line inquiries on an ad-hoc basis
  • Oversight of the internal screening filter, including list maintenance, assessing tuning results and setting thresholds
  • Identifying and supporting technology enhancements to screening tools and workflow
  • Develop and maintain WSPs, desktop procedures, and job aids to support the Sanctions Program
  • Support Training and Education team in developing firm-wide sanctions training
  • Develop Sanctions controls as needed when new Sanctions regulations are released
  • Keep up to date with all applicable US sanctions against individuals, entities, countries and securities products
  • Assist in developing and rolling out sanctions-related communications and training for business and operations groups
  • Review and advise on regulatory, internal audit and Compliance Assurance issues and findings related to the Sanctions Program
Interactive Brokers

1,001-5,000 employees

Multinational brokerage firm
Company Overview
IBKR is on a mission to transform how millions of people trade around the globe. The company operates the largest electronic trading platform in the US by number of daily active users.
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