Analyst - Financial Advisor Compliance - Temp

About INTERACTIVE BROKERS!

This is Hybrid role (3 days in office /2 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 in our Chicago/Greenwich office for a 6-month assignment. The Compliance Analysts will work independently and quickly adapt to a fast-paced environment. The analysts 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 pertaining to the firm’s financial advisor clients and platform.
• Assisting with reviewing alerts generated in IBKR360 to look for potential violations with a focus 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.

 What 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 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.
• 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

 

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Last updated on Aug 20, 2024