Compliance Analyst - Financial Advisor

Profile

Interactive Brokers is looking to hire a Compliance Analyst at the Chicago or Greenwich Office. This is an entry-level position with excellent growth potential for highly motivated and exceptional performers. The analysts will report to the Financial Advisor (“FA”) Compliance Team Lead and will assist with various initiatives relating to Interactive Brokers Financial Advisor program and clients.

Responsibilities

Supporting implementation of the firm’s financial advisor compliance program

Responsible for conducting surveillance reviews pertaining to the firm’s financial advisor clients and platform

Verifying that financial advisor clients maintain current and accurate registrations

Conducting ad hoc investigations relating to financial advisor activity, including trade activity, registrations, etc.

Assisting with response to regulatory inquiries pertaining to the firm’s financial advisor clients and platform

Coordinating with programmers and other personnel on systems maintenance and enhancements of the firm’s financial advisor platform

Identifying opportunities to streamline current processes and identifying areas for improvement

Assisting with reviewing and updating policies and procedures pertaining to financial advisor regulations

Identifying items for escalation to management, including but not limited to AML issues, and potential disciplinary or disclosure events involving a financial advisor client

Qualifications, Skills & Attributes

The ideal candidate should possess a strong dose of compliance-curiosity, and have some regulatory experience working for an exchange, a regulatory organization, a Broker Dealer, a Futures Commission Merchant or similar organization. Alternatively, experience in internal audit, compliance, 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.

High degree of comfort and fluency with computers and technology and an understanding of how technology is applied to business and regulatory problems. Experience working directly with programmers and/or familiarity with scripting or query language is preferred

Outstanding oral and written communication skills

Ability to develop compliance solutions that satisfy relevant regulations while executing sound business judgment

Ability to work both independently as well as in a small-team environment, and to multi-task with minimal supervision

Experience with Atlassian Confluence/JIRA is preferred

Company Benefits & Perks

Competitive salary, annual performance-based bonus and stock grant

Retirement plan 401(k) 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

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, 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