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Interactive Brokers LLC is searching for a Head of Sanctions to manage the firm's Office of Foreign Assets Control ("OFAC") & Sanctions program and support compliance with the Bank Secrecy Act, USA PATRIOT Act, Counter Terrorist Financing and Anti-Money Laundering ("AML") laws and regulations. The Head of Sanctions should have experience directing and operating a high functioning team in a regulatory environment and will report directly to the Chief AML Officer.
Maintain and update the firm's OFAC & Sanctions program to ensure compliance with regulatory requirements;
Keep up to date with all applicable sanctions against individuals, entities, countries and securities products and confirm that all are covered in the firm's sanction program;
Develop external contacts among industry peer groups to determinate and validate that industry best practice;
Establish and maintain a robust inventory of controls, operational metrics, and reporting.
Coordinate with cross-functional groups to provide resolution for escalations and complex scenarios; and
Maintain oversight of staff reviewing and investigating potential matches of prospective or current customers against government lists (i.e. OFAC, Bank of England, European Union, etc.).
7+ years of experience within AML/Sanctions/Regulatory compliance, preferably at a large broker or financial institution with an international customer base.
5+ years of management experience.
Certified Anti-Money Laundering Specialist (CAMS) or similar certification.
Knowledge of List Screening Operations and Negative Media dispositioning.
Outstanding leadership, communication, analytical, and project management skills.
Ability to develop compliance solutions that satisfy relevant regulations while executing sound business judgment.
High degree of comfort with technology and a functional understanding of how technology can be applied to business and regulatory solutions.
Bachelor's degree or military experience.
Willingness and ability to obtain financial registration exams promptly.
Series 7 / 24 certifications are a plus.
Business Process Management or similar certifications are a plus.
Company Overview Interactive Brokers ("IBKR"), a subsidiary of publicly-traded Interactive Brokers Group, Inc., based in Greenwich, Connecticut (NASDAQ: IBKR) is a low-cost provider of trade execution and clearing services for active traders, institutional investors, financial advisors and introducing brokers. IBKR's premier technology provides electronic access to stocks, options, futures, forex, bonds, and funds worldwide from a single IBKR Integrated Investment account. IBKR is one of the largest online brokers by trade volume and is consistently ranked at the top of its field. Our employees are part of a dynamic, multinational, fast-paced, results-oriented team working to provide our customers with state-of-the-art trading technology, superior execution capabilities, worldwide electronic access, and sophisticated risk management tools. Our headquarters are in Greenwich, CT, USA. IBKR has offices in the United States, Canada, the United Kingdom, Switzerland, Hungary, Estonia, Russia, India, Hong Kong, China, Japan and Australia. IBKR is a member of NYSE, FINRA, and SIPC. Interactive Brokers Group brokerage affiliates are regulated by securities and commodities agencies around the world. Click HERE to view a short video with a few words from current Interactive Brokers employees. For more information, please visit www.ibkr.com/info