Analyst - Financial Advisor Compliance - Temp

About INTERACTIVE BROKERS!

This is a hybrid role (three days in the office/two days remote).

 

Interactive Brokers Group has been consistently at the forefront of trading innovation, starting with the invention of the first floor-based handheld computer in 1983. We pride ourselves on being primarily a technology company and challenging the status quo. We push boundaries to offer our clients the best trading platform with the most sophisticated features at the lowest cost. Software development is the lifeblood of our firm, and it shows in our stellar brokerage platform. Interactive Brokers is regularly recognized as a leader in the financial services industry.

 

Interactive Brokers is looking to hire two temporary Compliance Analysts for a six-month assignment in our Chicago or Greenwich offices. The Compliance Analysts will work independently and quickly adapt to a fast-paced environment. They will report to the Financial Advisor ("FA") Compliance Team Lead and assist with various initiatives relating to Interactive Brokers' Financial Advisor program and clients.

 

What will be your responsibilities within IBKR: 

• Responsible for conducting surveillance reviews about the firm's financial advisor clients and platform.
• Assisting with reviewing alerts generated in IBKR360 to look for potential violations, focusing on advisors and their clients who have matching AML/KYC information, including email address/phone number/SSO login (device) matches.
• Sending outreach to financial advisors to solicit additional information.
• Identifying items for escalation to management.
• Writing up review notes and findings for manager review.

Which Skills Are Required:

• 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 a similar organization. Alternatively, experience in internal auditing, compliance, legal, accounting, or other control functions 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 and strong analytical and quantitative skills.
• A 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.

 

To be successful in this position, you will have the following:

• Self-motivated and able to handle tasks with minimal supervision.
• Superb analytical and problem-solving skills.
• Excellent collaboration and communication (Verbal and written) skills.
• Outstanding organizational and time management skills.

Company Benefits & Perks

• Competitive salary, annual performance-based bonus and stock grant
• Retirement plan 401(k) with a competitive company match
• Excellent health and wellness benefits, including medical, dental, and vision benefits, and a company-paid medical healthcare premium.
• Wellness screenings and assessments, health coaches and counseling services through an Employee Assistance Program (EAP)
• Paid time off and a generous parental leave policy
• 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
• Education reimbursement and learning opportunities
• Modern offices with multi-monitor setups

Company Overview

Interactive Brokers Group, Inc. (Nasdaq: IBKR) is a global financial services company headquartered in Greenwich, CT, USA, with offices in over 15 countries. We have been at the forefront of financial innovation for over four decades, known for our cutting-edge technology and client commitment.

IBKR affiliates provide global electronic brokerage services around the clock on stocks, options, futures, currencies, bonds, and funds to clients in over 200 countries and territories. We serve individual investors and institutions, including financial advisors, hedge funds and introducing brokers. Our advanced technology, competitive pricing, and global market help our clients to make the most of their investments.

Barron's has recognized Interactive Brokers as the #1 online broker for six consecutive years. Join our dynamic, multi-national team and be a part of a company that simplifies and enhances financial opportunities using state-of-the-art technology.