Manager - Trade Surveillance

Interactive Brokers Group, Inc.

Chicago, IL, United States
Base: $100,000 to $110,000 annually; bonus/equity:...
On-site
Oversee team of analysts for trade surveillance
Review and approve suspicious activity reports
Ensure compliance with bank secrecy act
The Compliance Manager will oversee a team responsible for reviewing surveillance alerts and conducting investigations into trade practice violations

Job Summary

  • The Compliance Manager will oversee a team responsible for reviewing surveillance alerts and conducting investigations into trade practice violations.
  • This role requires ensuring the firm complies with the Bank Secrecy Act, USA PATRIOT Act, AML regulations, and securities laws.
  • The company offers a competitive salary, annual performance-based bonus, stock grants, and comprehensive health and wellness benefits.

Matching Summary

The Compliance Manager will oversee a team responsible for reviewing surveillance alerts and conducting investigations into trade practice violations.

Salary

Base: $100,000 to $110,000 annually; Bonus/Equity: Discretionary cash bonus and stock award; Benefits: 401(k) match, health/dental/vision, tuition reimbursement

Skills & Requirements

Must-have

  • Oversee team of analysts for trade surveillance
  • Review and approve Suspicious Activity Reports
  • Ensure compliance with Bank Secrecy Act
  • Manage daily investigative workflow and metrics
  • Develop desktop procedures for compliance tasks

Nice-to-have

  • Self-motivated with minimal supervision
  • Superb analytical and problem-solving skills
  • Excellent collaboration and communication skills
  • Outstanding organizational and time management
  • Comfortable working in a small-team environment

Key Requirements

  • 3 to 5+ years experience in trade surveillance
  • 2+ years of management experience
  • Bachelor's degree in Finance, Business, Economics, Math, or CS
  • CAMS certification or Series 7/24 highly preferred
  • Willingness to obtain financial registration exams promptly

Work Rights

Not specified

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