Interactive Brokers UK (“IBUK”) is a rapidly growing direct-access electronic trade execution and clearing broker for active traders, institutional investors, financial advisors and introducing brokers. It is increasing its client base, introducing new products and connecting to new markets. The firm is authorized and regulated by the FCA.
IBUK is a subsidiary of the large international financial services group, Interactive Brokers Group, Inc., based in Greenwich, Connecticut USA (NASDAQ: IBKR). The Group employs over 1,000 people worldwide and provides electronic brokerage services to more than 365,000 customers in trading securities, commodities and foreign exchange in 23 currencies on 100+ market centers across 24 countries around the world. By building and operating highly automated systems in all aspects of its business the Group seeks to deliver these services at the lowest possible cost to its clients.
The key objective of the Compliance/AML Associate role is to ensure that IBUK is in compliance with the rules and regulations of regulatory agencies, that company policies and procedures are being followed and that appropriate controls and surveillance are taking place.
The successful candidate will participate in the review of KYC/Client Onboarding. The candidate will face the company’s onboarding team as well as the sales and client services teams, and provide guidance and feedback to ensure expedient compliance account processing. The Compliance/KYC Associate will also be expected to provide a proactive approach to solving compliance and legal issues. The role will ultimately answer to the MLRO. This position is based in our London office.