Trade Compliance Manager

Interactive Brokers is looking to hire at the Chicago Office a technologically fluent Compliance Manager in the Model Governance team. The Manager will report to the Head of Model Governance and will assist with ensuring the firm complies with Bank Secrecy Act, USA PATRIOT Act, anti-terrorist financing, industry AML, and securities laws and regulations as it relates primarily to US and foreign offices.

Responsibilities:

• Establish and maintain model tuning documentation as it relates to Trade Surveillance reports.
• Partner and collaborate with Business and Development on changes to Trade Surveillance report changes Develop and
• Conduct annual testing of trade report thresholds, parameters, and functionality to assess if AML and market manipulation risks are being appropriately monitored by the report
• Conduct beta testing and tuning of trade reports before being deployed in Production
• Work collaboratively with stakeholders across Compliance and Programming
• Maintain up to date Trade Surveillance model documentation
• Trade Surveillance Manager will be responsible for actively following regulatory trends and responsible of proposing appropriate action to Compliance such as updating and designing surveillance reports to ensure the firm has inclusive surveillance coverage
• Perform Trade Surveillance Coverage Analysis to identify gaps and recommendations.
• Compile trade report analysis into meaningful summaries and make findings available to relevant stakeholders
• Assist with the implementation of multiple Trade related model projects and deliver tasks in a timely manner

Qualifications:

• 5+ years of Trade Surveillance experience with US Broker-Dealer, FCM, or Exchange (preferably at a large broker or other financial institution with an international customer base)
• In-depth knowledge of trading products (Equities, Options, and Futures as well as CFDs and FOREX) across all asset classes, as well as applicable regulatory requirements, industry standards, risk management and controls
• Experience in US and Foreign Regulatory regimes
• Experience in designing reports/controls for Trade Surveillance
• Outstanding leadership, communication, analytical, and project management skills.

Preferred Qualifications:

• Bachelor’s or master’s degree in Computer Science, or related degree
• Minimum 5 years of Trade Surveillance experience
• Minimum 5 years of professional programming experience in Python, NoSQL and Linux.
• Minimum 3 years of professional experience in Linux.
• Minimum 3 years of Relational databases experience (Oracle).
• Experience with Pandas and NumPy
• Regulatory certification a plus.