Analyst - Financial Advisor Compliance

Join the INTERACTIVE BROKERS Team!

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 a Compliance Analyst at the Chicago or Greenwich Office. This is an entry-level position with excellent growth potential for highly motivated and exceptional performers.  The analysts 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.

• 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
• 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
• Reviewing registered Financial Advisor accounts to ensure that the FA maintains a current registration and that the FA’s registration information is accurately reflected in internal systems
• Identifying items for escalation to management, including but not limited to AML issues, and potential disciplinary or disclosure events involving an Financial Advisor

• 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 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