Anti-Money Laundering (AML) Officer at ThinkMarkets
ThinkMarkets is a global online brokerage firm, specializing in providing multi-asset trading solutions to thousands of clients around the world. With our flagship ThinkTrader platform, we allow our clients to trade the world 24-hours a day. Our mission is to disrupt the brokerage industry by allowing access to global markets and thousands of products to allow our clients to trade the world in the palm of their hand. We use the latest technologies to give traders seamless access to our proprietary trading platforms.
We are seeking a Anti-Money Laundering (AML) Officer to join our rapidly growing global workforce in Chicago. This role will be a subject matter expert in all things AML-related and work as part of the Compliance Department.
- Work with the firm’s Compliance Officers to ensure company follows a BSA/AML training program
- Plan and undertake the execution of compliance desk reviews/risk-based monitoring in accordance with an established review plan
- Review and tailor Customer Due Diligence, Customer Risk Rating, and Enhanced Due Diligence
- Conduct transaction monitoring and investigate potentially suspicious activity.
- Review audit and regulatory findings; identify key issues for risk rating purposes
- Maintain sufficient risk-based transaction monitoring and adequately cover higher-risk products, customer, and regions identified in the company’s AML Risk assessment.
- Collaborate with Compliance Managers in global offices, sharing best practices and promoting open dialogue and communication
- Assist with complaints handling process, and in particular escalated complaints
- Contribute to ongoing work to ensure that the principles of ThinkMarkets are being met
- Familiarity with and ability to use Fraud Prevention and AML tools and systems
- Support maintenance of all regulatory filings and prepare for regulatory visits
- Identify and deliver training on regulatory topics across the business; manage the administration of the online training system
- Maintain personal/professional development to meet the changing demands of the role, including all relevant regulatory and legislative training
- Knowledge of FINRA standards for an AML compliance program Bachelor’s degree in a relevant discipline strongly preferred
- Must be CAMS certified
- Knowledge of FFIEC Examination Manual relative to AML, KYC, CIP, and similar functions
- Knowledge of USA PATRIOT Act and recent related laws and regulations
- Minimum 3 years post-qualification experience in a financial services environment
- Demonstrated experience in and passion for financial regulations and compliance, and technology
Our Benefit Offerings:
- Medical, Dental, and Vision coverage available
- Employer-Paid Short-Term Disability and Life Insurance
- Pre-Tax Transit deduction options
- Global Employee Assistance Program
- 401k and Roth 401k (retirement planning) options available and competitive company match
- Generous Paid Holidays
- Monthly gym reimbursement
- Fresh beverages and snacks in office