Tina Kemp
.
- Role
- Compliance Analyst at Interactive Brokers
- Location
- Chicago, IL, US
- LinkedIn followers
- 500 followers
About Tina Kemp
Professional with compliance, office management, labor relations, accounting, event…
Experience
Compliance Analyst
Apr 2021 — Present · Chicago, IL, US
Compliance Analyst - Financial Intelligance Unit (FIU)Reporting to the Senior Manager - FIU. Responsible for performing reviews of applicants to ensure compliance with applicable self-regulatory organization rules, as well as anti-money laundering, counter-terrorist financing, sanctions, and securities laws and regulations.• Investigated and reviewed trading data for suspicious activity or patterns of unusual activity.• Conducted Know Your Customer (“KYC”) analysis and risk profiles in accordance with policies and procedures.• Performed due diligence on higher risk customers and companies.• Researched negative news utilizing the public domain, open sources and third-party databases for higher risk clients and related parties.• Conducted reviews of account activity, including trading, deposit and withdrawal, and public domain searches, to determine if activity is in line with IBKR policy.• Reviewed and used sound judgement to clear alerts/red flags; escalate alerts when needed to identify and address compliance risks to the organization.• Collaborated with other departments/individuals on investigation and resolution of compliance concerns noted to share information and work with others around the company to ensure we are operating in a compliant manner.• Trained, mentored and coached new hires/staff on our departmental transactional queues.
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