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Company Overview Interactive Brokers (U.K.) Ltd. ("IBUK"), 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
Job Description IBUK is seeking a Senior AML Associate to join our rapidly growing company. The key objective of the Senior AML Associate role is to ensure that IBUK is in compliance with the AML rules and regulations, that company policies and procedures are being followed and that appropriate controls and surveillance are taking place. This is an excellent opportunity to join a firm actively pursuing and developing in-house technological solutions to Compliance and AML requirements. The successful candidate will participate in, and gain exposure to, the full range of activities, products and client types under the AML Programme including KYC/Client Onboarding, KYC Refresh/Ongoing Monitoring, AML Surveillance, Investigations, Regulatory Reporting, and Client Offboarding. The candidate will work effectively with the company's sales, client services, trade surveillance, programming, projects, cashiering, and risk teams . The Senior AML Associate will also be expected to provide a proactive approach to solving compliance issues and form working relationships with colleagues in multiple jurisdictions. The role will answer to the MLRO. This position is based in our London office.
Supervise the end-to-end investigations lifecycle - assess investigation triggers, place and remove restrictions, and manage investigations, SAR submissions, and off-boarding;
Action court orders and oversee liaisons with regulatory, enforcement, or judiciary bodies;
Make recommendations on filing required or voluntary SARs, exiting or retaining relationships, and adjusting risk assessments or risk mitigation strategies;
Manage the submission of the FCA Annual Financial Crime Report and assist with the annual MLRO Report;
Produce and maintain quality MI related to the firm's customer base and the AML Programme;
Manage the review of depository institutions and financial intermediaries;
Approve large withdrawals and other high-risk transactions;
Carry out improvement projects - identify AML risks, prepare specifications, engage with internal stakeholders, and implement efficiencies and remediation efforts;
Draft, update, and monitor the company's AML policies and procedures;
Monitor and maintain the firm's outsourced AML systems and controls;
Provide training and mentoring to junior AML staff;
Carry out any other ad-hoc tasks or additional AML responsibility at the request of the MLRO.
A Bachelor's degree in law, business, finance, or accounting preferred;
Ability to work flexible hours;
Direct experience with conducting AML investigations, filing SARs, and recommending client exits;
Experience with court orders and external enquiries;
Good knowledge of open source intelligence gathering, payment systems, and money laundering red flags, particularly in the capital markets;
Good knowledge of POCA, JMLSG, 4 th Money Laundering Directive and the key FCA principles for businesses;
Strong analytical skills, able to manipulate data, produce MI, and write reports - Microsoft Excel skills are essential;
Excellent oral and written communication skills;
Knowledge of the requirements for a risk-based approach to on-boarding and client monitoring;
Must have ability to work in a pressurized medium-size office environment; and to build strong working relations with global colleagues
Must be comfortable and confident to work in a highly automated environment and with programmers.
Management experience preferred;
Benefits: Competitive salary as well as health and retirement benefits.