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Date Added: Fri 04/06/2021

New Accounts Quality Assurance (QA) Manager

Chicago, IL, US
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Company: INTERACTIVE BROKERS

Job Type: Permanent, FullTime

Job Description

Interactive Brokers (IBKR) is looking to hire a a professional with KYC experience to manage the quality assurance of our new accounts applications. This position sits at our Chicago, IL Office. This is a mid-level management position with room for growth for highly motivated and exceptional performers.  The New Accounts QA Manager will report to the Head of New Accounts and will be responsible for managing the full QA process related to the processing of new account applications. (This is not an IT position)

Responsibilities:

  • Directly manage a team of QA analysts responsible for conducting QA reviews of processed new account applications.
  • Provide detailed feedback to specific New Accounts staff and their managers regarding QA findings.
  • Develop "lessons learned" trainings for the New Accounts team to highlight thematic issues identified during QA reviews.
  • Work closely with operational managers to enhance procedures to improve QA results.    
  • Develop and maintain desktop procedures and job aids related to QA reviews.
  • Monitor and manage daily QA workflow, controls, and metrics for the team, and ensure timely completion of QA tasks.
  • Conduct supervisory reviews and provide constructive coaching and direction to QA team members.
  • When needed, support and participate in internal, external, and regulatory audits and examinations.

Qualifications:

  • 5+ years of experience in KYC compliance at customer onboarding with a large broker-dealer or other financial institution with an international customer base.
  • 3+ years of experience in QA of KYC processes.
  • 2+ years of management experience.
  • Solid academic background. Bachelor's Degree required.
  • Ability to develop operational solutions that satisfy relevant regulations while executing sound business judgment.
  • Ability to work in a fast-paced environment, work independently, supervise numerous staff, and multi-task with minimal supervision.
  • High degree of comfort with technology and a functional understanding of how technology can be applied to business and regulatory solutions.
  • Outstanding leadership, communication, analytical, and project management skills.
  • Willingness and ability to obtain financial registration exams promptly.
  • Certified Anti-Money Laundering Specialist (CAMS) or similar certification, including Series 7 or 24 are highly preferred.
Company Benefits & Perks
  • Competitive salary, annual performance-based bonus and stock grant
  • Retirement plan 401(k) with competitive company match
  • Excellent health and welfare benefits including medical, dental, and vision benefits
  • Wellness screenings and assessments, health coaches and counseling services through Employee Assistance Program (EAP)
  • Paid time off and a generous parental leave policy
  • Daily company paid lunch and a fully stocked kitchen with healthy options for breakfast and snack
  • Corporate events including team outings, dinners, volunteer activities and company sports teams
  • Education reimbursement and learning opportunities
  • Modern offices with sit/stand desks and multi-monitor setups

 

Company Overview

Interactive Brokers ("IBKR"), 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, Australia, Canada, China, Estonia, Hong Kong, Hungary, India, Ireland, Japan, Luxembourg, Russia, Singapore, Switzerland and United Kingdom.

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.

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