Interactive Brokers is looking to hire a Compliance Analyst in our Trade Surveillance team at the Chicago Office. This is a position with excellent growth potential for highly motivated and exceptional performers with the possibility to turn to a permanent role. Analysts will report to a Compliance Manager 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.
Day-to-day responsibilities include:
- Conducting 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.
- Preparing regulatory filings
- Contribute to streamlining current processes and identifying areas for improvement
- Review trading data for suspicious activity or patterns of unusual trading
The ideal candidate will have 2-5 years 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.
Preferred qualifications include:
- 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
- Capital Markets
Company Benefits & Perks
- Daily company lunch allowance provided and a fully stocked kitchen with healthy options for breakfast and snack
- Corporate events, including team outings, dinners, volunteer activities and company sports teams
- 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.
Click the link to view a short video with a few words from current Interactive Brokers employees: https://www.interactivebrokers.com/en/index.php?f=31899