Base: $100,000 to $110,000 annually; bonus/equity:...
On-site
Trade surveillance experience
Aml and sanctions knowledge
Team management skills
The Compliance Manager will oversee a team of analysts responsible for reviewing surveillance alerts and conducting investigations into trade practice violations
Job Summary
The Compliance Manager will oversee a team of analysts responsible for reviewing surveillance alerts and conducting investigations into trade practice violations.
This hybrid role requires the candidate to ensure firm compliance with the Bank Secrecy Act, USA PATRIOT Act, and various securities laws.
Interactive Brokers offers competitive compensation including an annual performance-based bonus, stock grants, and comprehensive health benefits.
Matching Summary
The Compliance Manager will oversee a team of analysts 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, medical/dental/vision, tuition reimbursement
Skills & Requirements
Must-have
Trade surveillance experience
AML and sanctions knowledge
Team management skills
SAR review and approval
Regulatory compliance expertise
Nice-to-have
Strong analytical problem-solving
Technology application understanding
Excellent verbal communication
Self-motivated independent worker
Project management capabilities
Key Requirements
3-5+ years in trade surveillance
2+ years of management experience
Bachelor's degree in Finance or related field
CAMS or Series 7/24 certification preferred
Willingness to obtain financial registration exams