AML - Analyst Regulatory Correspondence
About the position
Interactive Brokers LLC seeks a Regulatory Correspondence (“RC”) Analyst to work from our Chicago Operations Center. The RC Analyst should have experience investigating and analyzing trading activity, money movement, and various account relationship aspects for potential Anti-Money Laundering (“AML”) considerations at a financial services firm. The incumbent will help ensure the firm complies with the Bank Secrecy Act, USA PATRIOT Act, anti-terrorist financing, sanctions, and industry AML laws and regulations.
Responsibilities
- Thoroughly investigate client account and transaction activity to identify behavior potentially linked to money laundering, terrorist financing, manipulative trading, or other financial crimes.
- Analyze complex data sets, client profiles, and transaction patterns to identify inconsistencies, anomalies, and red flags.
- Collaborate with internal stakeholders to gather information, escalate concerns, and ensure a coordinated, appropriate response to identified risks.
- Monitor and document activity pursuant to internal procedures, regulatory expectations, and industry best practices.
- Stay current with applicable AML/CFT regulations, trading rules, emerging financial trends, and internal policies.
Requirements
- 2-3+ years of experience within AML/Fraud compliance in a financial services institution, preferably at a large broker-dealer or financial institution with an international client base (or similar experience at a regulatory agency). A strong background in trading or conducting trading reviews is very beneficial.
- Must be a problem solving, innovative thinker with outstanding communication skills and a strong ownership mentality.
- Have a high degree of comfort with technology and a functional understanding of its application to business and regulatory solutions.
- Bachelor’s degree or military experience.
- Certified Anti-Money Laundering Specialist (CAMS), or FINRA licenses (SIE, Series 7, etc.) strongly preferred. If none, must be willing and able to obtain relevant licensures/certifications promptly.
- Self-motivated and able to handle tasks with minimal supervision.
- Superb analytical and problem-solving skills.
- Excellent collaboration and communication (Verbal and written) skills.
- Outstanding organizational and time management skills.
Benefits
- Competitive salary, annual performance-based bonus, and stock grant awards
- 401(k) retirement plan with competitive company match
- Excellent health and wellness benefits, including medical, dental, and vision benefits. 100% employer-paid medical premiums, with generous employer contributions to dental & vision plans as well.
- Wellness screening and assessments, health coaches, and counseling services through an Employee Assistance Program (EAP)
- Generous paid parental leave (up to 16 weeks paid parental leave for eligible employees)
- Company-paid basic life insurance, accidental death & dismemberment (AD&D), and short- and long-term disability coverage
- Flexible Spending Accounts (Healthcare, Dependent Care, and Commuter FSAs)
- Quarterly fitness stipend to offset costs associated with traditional gym and fitness memberships or fees
- Education reimbursement and professional development opportunities
- Legal services, telehealth access, and voluntary insurance options
- Backup child and adult care support through Care.com
- Daily lunch allowance and fully stocked kitchen with healthy breakfast and snack options
