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Responsible for in-depth review of details of new and existing customers and their activities pertaining to IB accounts.
Monitor customer details and their transactions in order to identify potential high risk or money laundering activity.
Responsible for conducting regular due diligence and enhanced due diligence on existing and prospective customers.
Assist for creating and implementing policies and procedures related to the firm's enhanced due diligence program.
Coordinate and assist global compliance teams for their compliance and AML functions.
Review and draft Suspicious Activity Reports.
Perform global research on customers and customer associate entities through inhouse or third party research tools.
Understand how money laundering schemes work and apply knowledge in identifying potential cases needing further investigation. Generate and maintain appropriate case documentation.
Communicate with appropriate group staff member to obtain additional customer information and/or requesting necessary updates to customer records.
Perform transaction analysis for of potential High Risk customers regarding their volume, frequency, beneficiaries/originators, involvement with High Risk and OFAC countries, etc.
Required Qualification and Skills
Bachelor's degree or higher with a major or concentration in Finance, Economics, Accounting, or Information Systems, etc.
Minimum 4 years' experience handling AML and/or EDD issues at a regulator, industry association, law firm, consulting firm, an investment advisory firm, or another broker-dealer or FCM are preferred.
Understanding of how technology is applied to business and regulatory issues.
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.
Excellent writing and oral communication skills.
Proven ability to manage projects and work independently to bring projects to completion in a fast-paced environment.
AML certification such as ACAMS, CFE, CFCS is a plus.
Good knowledge and experience of office tools like MS Outlook, MS Word, MS Excel etc.
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 advisers 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