Enhanced Due Diligence Compliance Analyst

Profile

Position

Interactive Brokers is looking to hire a Compliance Analyst in our office in Chicago, IL. This is an entry-level position with excellent growth potential for highly motivated and exceptional performers. Analysts will report to a Compliance Manager in our Chicago office 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.

Responsibilities

Conducting ongoing review analysis of clients’ KYC profile and transactions in accordance with established procedures in line with IBKR policy

Advising management by collecting, analyzing, and summarizing data and trends.

Maintain accurate tracking of assignments and request for documentation to ensure appropriate deadlines are met

Contribute to streamlining current processes and identifying areas for improvement

Perform negative news and public domain searches on high risk clients and related parties in different categories of EDD

Qualifications

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.

Preferred qualifications:

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

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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 sit/stand desks and multi-monitor setups

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Company Overview

Interactive Brokers (IBKR), a subsidiary of publicly-traded Interactive Brokers Group, Inc., based in Greenwich, Connecticut (NASDAQ: IBKR) is a low-cost provider of trade execution and clearing services for active traders, institutional investors, financial advisors and introducing brokers. IBKR’s premier technology provides electronic access to stocks, options, futures, forex, bonds, and funds worldwide from a single IBKR Integrated Investment account. IBKR is one of the largest online brokers by trade volume and is consistently ranked at the top of its field.

Our employees are part of a dynamic, multinational, fast-paced, results-oriented team working to provide our customers with state-of-the-art trading technology, superior execution capabilities, worldwide electronic access, and sophisticated risk management tools.

Our headquarters are in Greenwich, CT, USA. IBKR has offices in the United States, Australia, Canada, China, Estonia, Hong Kong, Hungary, India, Ireland, Japan, Luxembourg, Russia, Singapore, Switzerland and United Kingdom.

IBKR is a member of NYSE, FINRA, and SIPC. Interactive Brokers Group brokerage affiliates are regulated by securities and commodities agencies around the world.

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North America Agency recruiters interested in working with us can apply HERE.

Company info

Interactive Brokers Group, Inc.
Website : https://www.interactivebrokers.com