Compliance Analyst - Sanctions
Interactive Brokers
Mumbai
2d ago

Job Description and Responsibilities

  • Manage multiple queues of real-time transaction and reference data alerts against sanctions watch-lists administered by U.
  • S. and international regulatory bodies.

  • Perform complex case investigations sourcing data from multiple unrelated venues, including both proprietary and open sources.
  • Draft reporting summaries for internal management and external regulatory audiences.
  • Remain apprised of and interpret updates to U.S. and international economic and trade-based sanctions programs.
  • Design, source and produce reporting metrics across multiple workflows and decision queues
  • Process review and enhancement related to the referral, escalation and resolution of sanctions alerts in region and globally as required.
  • Contribute new idea related to Sanctions and AML screenings.
  • Required Qualification and Skills

  • Bachelor's degree or higher with a major or concentration in Finance, Economics, Accounting, or Information Systems, etc.
  • 4-7 years of experience related to AML & Sanctions Compliance in financial services or other relevant industry.
  • Strong knowledge of International Sanctions regimes
  • Knowledge of Financial Crime Risk policies, Sanctions, AML and procedures
  • Experience gained in a leading broker, bank, regulator or professional services firm
  • Awareness of financial market trading products
  • An additional foreign language would be advantageous (e.g. German, French, Spanish, Chinese)
  • Understanding of how technology is applied to business and regulatory issues.
  • Ability to work in a small-team environment, work independently, and multi-task with minimal supervision.
  • Excellent writing and oral communication skills.
  • AML certification such as ACAMS, CFE, CFCS is a plus.
  • Good knowledge and experience of office tools like MS Outlook, MS Word, MS Excel etc.
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