Aml Associate Director

2 weeks ago

Sydney, Australia Interactive Brokers Full time

**Job Description & Responsibilities**:
Interactive Brokers is looking for an AML Associate Director / Director in its Asia Pacific region who has experience in managing AML program and for conducting KYC and EDD reviews on customer accounts in the region.

**Responsibilities**:

- Work with IB's New Accounts and Surveillance teams to calibrate and implement customer due diligence procedures;
- Review and manage escalations from New Accounts regarding applicants presenting potential red flags or AML concerns;
- Assist the Director of Legal & Compliance-APAC and the relevant Heads of Compliance for our IB brokerage companies in Hong Kong, Singapore, Australia, Japan and India in maintaining and updating written policies and operational procedures to reflect changes in the relevant AML and other applicable laws;
- Help maintain and update the firms' APAC AML and KYC compliance training programs; and
- Assist in developing and implementing remedial action plans in response to internal and external audit findings.

**Qualification & Skills**:

- At least 5 years of experience in AML compliance, preferably at a large broker or other financial institution with an international customer base;
- Subject Matter Expert for CIP and CDD requirements, and extensive knowledge of AML regulations, industry or regulatory standards and expectations.
- High degree of comfort with computers and technology, and understanding of how technology is applied to business and regulatory problems;
- Solid academic background;
- Outstanding oral and written communication skills;
- Fluent spoken and written English;
- Ability to develop compliance solutions that satisfy relevant regulations while executing sound business judgment; and
- Certified Anti-Money Laundering Specialist (CAMS) or similar certification strongly preferred.

**Company Overview**:
Interactive Brokers LLC, a subsidiary of Interactive Brokers Group, Inc. (Ticker: IBKR) is a direct access electronic broker serving professionals, frequent traders, institutional investors, financial advisors and introducing brokers. Our clients have access to more than 150 market centers around the world from a single integrated account. Our employees are part of a dynamic, multi-national, fast-paced, results-oriented team that has spent four decades focused on advanced technology and automation that equips our clients with a uniquely sophisticated platform to manage their investment portfolios. We provide our clients with advantageous execution prices, risk and portfolio management tools, research facilities and investment products, at low or no cost, positioning them to achieve superior returns.

Headquartered in Greenwich, CT, USA. IBKR has offices in more than 15 countries across the world.

IBKR is a member of NYSE, FINRA, and SIPC. Interactive Brokers Group brokerage affiliates are regulated by securities and commodities agencies around the world.

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