Analyst - Financial Advisor Compliance
Analyst - Financial Advisor Compliance
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Salary Not Disclosed
1 Vacancy
Job Description
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 cuttingedge 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.
Barrons has recognized Interactive Brokers as the #1 online broker for six consecutive years. Join our dynamic multinational team and be a part of a company that simplifies and enhances financial opportunities using stateoftheart 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 firms financial advisor compliance program
- Responsible for conducting surveillance reviews pertaining to the firms 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 firms financial advisor clients and platform
- Coordinating with programmers and other personnel on systems maintenance and enhancements of the firms 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 compliancerelated roles including risk functions or internal audit.
- The ideal candidate should possess a strong dose of compliancecuriosity 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 Bachelorslevel 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 smallteam environment and to multitask with minimal supervision
- Experience with Atlassian Confluence/JIRA is preferred
To be successful in this position you will have the following:
- Selfmotivated and able to handle tasks with minimal supervision.
- Superb analytical and problemsolving skills.
- Excellent collaboration and communication (Verbal and written) skills.
- Outstanding organizational and time management skills.
Company Benefits & Perks
- Competitive salary annual performancebased 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 multimonitor setups
Required Experience:
IC
Employment Type
Advisor
