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Analyst - Financial Advisor Compliance

Chicago, IL

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.

This is Hybrid role (3 days in office /2 days remote)

Interactive Brokers is looking to hire a Compliance Analyst at the Chicago or Greenwich Office. This is a position with excellent growth potential for highly motivated and exceptional performers. The Compliance Analyst  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: 

  • Two and four years of professional experience working in a legal or compliance-related roles including risk functions, or internal audit.
  • 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

 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 competitive company match
  • Excellent health and wellness benefits, including medical, dental, and vision benefits. 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

 

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