Interactive Brokers is looking to hire a full-time Quality Assurance Compliance Analyst at the Chicago Office. This position has excellent growth potential for highly motivated and exceptional performers. Quality Assurance Compliance Analysts will report to a Quality Assurance Compliance and will assist with ensuring the firm complies with Bank Secrecy Act, USA PATRIOT Act, anti-terrorist financing, sanctions, industry AML, and securities laws and regulations.
Conducting quality assurance reviews of account activity, including trading activity, deposit and withdrawal activity, and public domain activity, to determine if activity is in line with IBKR policy
Advising management by collecting, analyzing, and summarizing data and trends.
Conduct quality assurance reviews on regulatory filings related to AML & Financial Crime Risk activities
Contribute to streamlining current processes and identifying areas for improvement
The ideal candidate will have some regulatory compliance experience working for an exchange, a regulatory organization, a Broker Dealer (BD), a Futures Commission Merchant (FCM) or similar organization. Alternatively, experience in internal audit, legal, accounting or other control function of a financial services firm or regulator would be beneficial. In the absence of direct industry experience, we will also consider applicants with excellent Bachelor’s-level educational credentials who have some background in law, accounting, data analytics or similar areas with strong analytical and quantitative skills. In order to thrive and succeed in a remote work environment candidates must be focused, adaptable, collaborative and have strong time management skills.
Qualifications, Skills & Attributes
2+ years’ work experience in AML investigations
High degree of comfort and fluency with computers and technology and understanding of how
technology is applied to business and regulatory problems.
Excellent oral and written communication skills
Detail-oriented with outstanding organizational and project management skills
Ability to work both independently as well as in a small-team environment, and to multi-task
with minimal supervision
ACAMS, CFE, CFCS, Series 7, or other FINRA licenses or certifications a plus
Company Benefits & Perks
Competitive salary, annual performance-based bonus and stock grant
Retirement plan 401k with competitive company match
Excellent health and welfare benefits including medical, dental, and vision benefits
Wellness screenings and assessments, health coaches and counseling services through Employee Assistance Program (EAP)
Paid time off and a generous parental leave policy
Daily company paid lunch and a fully stocked kitchen with healthy options for breakfast and snack
Corporate events including team outings, dinners, volunteer activities and company sports teams
Education reimbursement and learning opportunities
Modern offices with multi-monitor setups
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.