Regulatory Correspondence Manager

Job Description

Interactive Brokers is seeking a Compliance Manager to join its Regulatory Correspondence Unit in Chicago. This is a mid-level management position offering growth opportunities for motivated individuals. The Compliance Manager will report to the Regulatory Correspondence Unit Head and will be part of a team ensuring the firm's compliance with various laws and regulations.Role involves:

• Overseeing, training, and developing a team of analysts.
• Reviewing regulatory requests from various regulatory bodies.
• Conducting investigations to determine the need for SAR filings.
• Escalating red flags to senior management.
• Monitoring and managing daily workflow and performance metrics.
• Engaging senior management to improve investigative work.
• Conducting supervisory reviews and providing coaching to team members.
• Assessing operational and regulatory risks and recommending process enhancements.

Requirements:

• 5 - 10+ years of experience in AML compliance, market regulation, or investment management compliance.
• Prior securities or commodities regulatory experience is strongly preferred.
• 2+ years of management experience.
• Bachelor's degree or equivalent military experience.
• Ability to work independently and manage competing priorities.
• Ability to clearly express complex financial concepts.
• Comfort with technology and its application to business and regulatory solutions.
• Outstanding leadership, communication, analytical, and project management skills.
• Willingness to obtain financial registrations or certifications.
• CAMS or similar certification, including Series 7 or 24, is highly preferred.
• Self-motivated and able to handle tasks with minimal supervision.
• Superb analytical and problem-solving skills.
• Excellent collaboration and communication skills.
• Outstanding organizational and time management skills.

Role offers:

• Competitive salary, annual performance-based bonus and stock grant
• Retirement plan 401(k) with competitive company match
• Excellent health and wellness benefits
• Paid time off and a generous parental leave policy
• Daily company lunch allowance provided, and a fully stocked kitchen
• Corporate events, education reimbursement, and modern offices