Compliance Intake Analyst

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 seeks to hire a Compliance Intake Analyst for the Regulatory Correspondence Unit in its Chicago Office. This role will report to the Regulatory Correspondence Unit Head and operate as part of a broader team to help ensure that the firm complies with the Bank Secrecy Act, USA PATRIOT Act, anti-terrorist financing, sanctions, industry Anti-Money Laundering (AML), and securities laws, rules, and regulations.

 

Responsibilities

• With limited oversight, own the Regulatory Correspondence intake process by:
  • Identifying and assessing inquiries from regulatory and law enforcement authorities and
  • Creating and assigning related matters within internal case management promptly.
• Monitor regulatory response timelines and facilitate timely regulatory productions.
• Communicate with regulators, law enforcement officials, and IBKR stakeholders regarding case status.
• Escalate matters to Regulatory Correspondence management as appropriate.
• Involvement in special projects as necessary

 

Qualifications

• Outstanding organizational and time management skills are a must.
• Familiarity with the financial services regulatory environment (broker-dealer, investment adviser, futures commission merchant, etc.) is helpful but not required.
• Solid academic background – Bachelor’s Degree or equivalent experience.
• Ability to work independently in a small team environment and manage competing priorities
• Clear, concise communication skills
• High degree of comfort with technology and ability to quickly learn IBKR systems

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.