AML Compliance - Senior Analyst
Interactive Brokers
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Job summary
Interactive Brokers is hiring a Senior Analyst - Compliance in Chicago for CAFFI EDD work. The role supports compliance with Bank Secrecy Act, USA PATRIOT Act, sanctions, and relevant securities laws. Hybrid office presence is required, with strong analytical and collaboration skills essential.
You will lead risk assessments, reviews, and documentation for high-risk clients, working with cross-functional teams to ensure regulatory adherence and operational efficiency.
Qualifications
- Bachelor's degree or higher in accounting, criminal justice, finance, law, or similar; strong analytical/quantitative skills.
- Experience conducting Enhanced Due Diligence or financial crimes compliance reviews.
- Alternative fit: internal audit, testing/monitoring, legal, accounting, or other control functions.
- Candidates should be focused, adaptable, collaborative, and have strong time management and issue-spotting skills.
Responsibilities
- Conduct ongoing review analyses of clients' KYC profiles and transactions per IBKR procedures and policy.
- Perform negative news and public-domain searches on high-risk clients and related parties.
- Write comprehensive risk assessments for highest-risk clients.
- Interact with internal stakeholders to complete reviews and improve client efficiency.
- Maintain tracking of assignments and documentation deadlines.
- Escalate issues discovered during review and investigate.
- Assist in drafting, training, and maintaining procedures and documents.
- Act as subject matter expert for CAFFI reviews.
Skills
Education
Tools
Job description
Interactive Brokers Group, Inc. (NASDAQ: IBKR), a member of the S&P 500, is a global financial services company headquartered in Greenwich, Connecticut, with offices in over 15 countries. Through its affiliates, Interactive Brokers provides automated trade execution and custody of securities, commodities, foreign exchange, and prediction markets on over 170 markets in numerous countries and currencies.
Interactive Brokers Group, Inc. (NASDAQ: IBKR), a member of the S&P 500, is a global financial services company headquartered in Greenwich, Connecticut, with offices in over 15 countries. Through its affiliates, Interactive Brokers provides automated trade execution and custody of securities, commodities, foreign exchange, and prediction markets on over 170 markets in numerous countries and currencies.
For more than four decades, Interactive Brokers has focused on technology, automation, and innovation to provide clients worldwide with a sophisticated, unified platform to manage their investment portfolios. We serve individual investors, hedge funds, proprietary trading groups, financial advisors, and introducing brokers.
Our culture is driven by problem-solving, efficiency, and continuous improvement. We look for individuals who are intellectually curious, collaborative, and motivated to contribute to technology that helps simplify and enhance access to global financial markets. Interactive Brokers has consistently been recognized as a top broker by respected industry sources including Barron’s, Investopedia, Stockbrokers.com, and others.
Interactive Brokers is looking to hire a Senior Analyst - Compliance in our office in Chicago, IL. This position has excellent growth potential for highly motivated and exceptional performers. Senior Analysts will report to a Compliance Manager in our Chicago office and help ensure the firm complies with the Bank Secrecy Act, USA PATRIOT Act, anti-terrorist financing, sanctions, industry AML, and securities laws and regulations. This position is specifically focused on CAFFI (correspondent account foreign financial institution) EDD (enhanced due diligence).
- Conduct ongoing review analysis of clients' KYC profile and transactions in accordance with established procedures in line with IBKR policy
- Perform negative news and public domain searches on high-risk clients and related parties in different categories of EDD or financial crimes compliance
- Write comprehensive risk assessments of our highest risk clients
- Interact with internal stakeholders to complete reviews and provide efficiency for clients
- Maintain accurate tracking of assignments and request for documentation to ensure appropriate deadlines are met
- Escalate and investigate issues discovered during review
- Assist in drafting, training, and maintenance of procedures and other documents
- Act as a subject matter expert for CAFFI reviews
A bachelor's degree or higher is the preferred education level. Preferred areas of study include accounting, criminal justice, finance, law, or similar areas, with strong analytical and quantitative skills. The ideal candidate will also have experience conducting Enhanced Due Diligence or financial crimes compliance reviews. Alternatively, experience in internal audit, testing and monitoring, legal, accounting, or other control functions could be a good fit. Candidates must be focused, adaptable, collaborative, and have strong time management and issue-spotting skills to thrive and succeed in the work environment.
- High degree of comfort and fluency with computers and technology, and understanding of how technology is applied to business and regulatory problems.
- Proficient in Excel, Word, and PowerPoint
- Excellent oral and written communication skills
- Detail-oriented with outstanding organizational and project management skills
- Ability to work both independently as well as in a small team environment, and to multitask with minimal supervision
- ACAMS Certification
- 5 years direct experience in conducting Enhanced Due Diligence compliance reviews
- CFE, CFCS, Series 7, or other FINRA licenses or certifications are a plus
- 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
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