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Client Outreach Senior Analyst

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 for Client Outreach Sr. Analyst, this is a full-time individual contributor position that is multifaceted, with a focus on executing four primary client-related workflows. The position encompasses compliance-related operational processes including processing accounts flagged for closure according to established guidelines and procedures, managing Internal Account Transfer requests in coordination with other IB entities, monitoring assigned Compliance CIM Queues to properly route incoming communications, and tracking assigned Compliance Email boxes. The position carries out established workflows regarding compliance operations, client services, and facilitating client account changes.

Responsibilities:

Daily Operations & Execution:

  • Execute daily bulk updates to IBKR360 Outreach Alerts
  • Implement Account Closures and process ER's according to established procedures
  • Apply account restrictions and update various IBKR systems to reflect client account changes
  • Process the final compliance review and approval for internal account transfers, ensuring appropriate documentation and approvals are completed
  • Track and maintain records of accounts that have been or are designated to be closed
  • Monitor daily assigned Compliance CIM Queues (CMPL) and transfer CIM tickets to the appropriate IBKR staff member
  • Execute account "freeze" and "unfreeze" requests from cashiering, client services, and other groups (serving as primary backup)
  • Facilitate weekly bulk post restriction steps for European compliance entities (outside of monthly bulk restriction process)
  • Distribute bi-monthly report of aged CIM tickets to global compliance managers
  • Manage client outreach efforts between Chicago and Mumbai teams   

Client Communication & Coordination:

  • Serve as primary point of contact for the Hedge Fund Relationship Management Team, ensuring prompt and effective client communication resolution regarding compliance issues
  • Act as sales liaison for high value client issue resolution
  • Coordinate with global compliance units to resolve client restriction inquiries

Documentation & Maintenance:

  • Maintain the Account Closure desktop procedures
  • Update monthly account closure tracking metrics
  • Proactively identify and escalate potential client account disruptions

Skills:

  • 5 years’ experience with the SEC, FINRA, CFTC, NFA, an exchange or another broker-dealer or FCM
  • Appropriately registered compliance officer
  • Solid academic background with strong quantitative/analytical skills
  • Experience with FINRA and NFA rules concerning broker-dealer and FCM communications with the public, including the requirements for filing communications for regulatory approval, would be highly preferred
  • Prior experience in a highly automated environment and/or a high degree of comfort and fluency with computers and technology, as well as understanding how technology is applied to business and regulatory issues
  • Outstanding oral and written communication skills
  • Ability to develop compliance solutions that satisfy relevant regulations while executing sound business judgment
  • Ability to work in a small-team environment, work independently, and to multi-task with minimal supervision

 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

This role's anticipated base salary range is $90,000 to $110,000  annually based on skill's and experience. The offered salary is just part of the total compensation package. In addition to a competitive salary, the company offers both a discretionary cash bonus and stock award as well as a wide range of benefits, including health care, tuition reimbursement and much more

 

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