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Compliance Analyst Regulatory Correspondence Unit

Location
Chicago, IL, United States

Posted on
Mar 29, 2022

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Compliance Analyst – Regulatory Correspondence Unit
Interactive Brokers is looking to hire a Compliance Analyst in its Chicago, Illinois office. The Compliance Analyst role offers excellent growth potential for highly motivated and exceptional performers. Analysts will report to a Compliance Manager and will assist with ensuring the firm complies with Bank Secrecy Act, USA PATRIOT Act, anti-terrorist financing, sanctions, industry anti-money laundering (“AML”), and securities laws and regulations. The Compliance Analyst will perform in-depth investigations for purposes of identifying potentially suspicious activity related to financial crimes such as embezzlement, money laundering, insider trading, market manipulation, or other fraudulent activities.
Day-to-day responsibilities include:
Drive in-depth investigations of customer account activity, including trading activity, deposit and withdrawal activity, and public domain activity, to completion
Produce written reports that provide assessments of potentially suspicious activity and analyze the risk involved with the customer’s account by collecting, analyzing, and summarizing data and trends
Manage time sensitive workflows across numerous priorities
Prepare regulatory filings related to AML & Financial Crime Risk activities
Identify areas for improvement to help streamline and improve policies, procedures, and tools
The ideal candidate will have some regulatory compliance experience working for an exchange, a regulatory organization, a Broker Dealer (BD), a Futures Commission Merchant (FCM) or similar organization. Alternatively, experience as a paralegal, in internal audit, 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, finance, accounting, data analytics or similar areas with strong analytical and quantitative skills.
Preferred qualifications include:
High degree of comfort and fluency with computers and technology and understanding of how technology is applied to business and regulatory problems
Excellent oral and written communication skills
Detail-oriented with outstanding organizational and project management skills
Ability to work both independently as well as in a small-team environment, and to multi-task with minimal supervision
ACAMS, CFE, CFCS, Series 7, or other FINRA licenses or certifications is a plus
Interactive Brokers (IBKR), a subsidiary of the publicly traded **MEMBERS ONLY**SIGN UP NOW***., based in Greenwich, Connecticut (Nasdaq: IBKR) is a low-cost provider of trade execution and clearing services for active traders, institutional investors, financial advisors and introducing brokers. IBKR’s premier technology provides electronic access to stocks, options, futures, forex, bonds, and funds worldwide from a single IBKR Integrated Investment account. IBKR is one of the largest online brokers by trade volume and is consistently ranked at the top of its field.
Our employees are part of a dynamic, multinational, fast-paced, results-oriented team working to provide our customers with state-of-the-art trading technology, superior execution capabilities, worldwide electronic access, and sophisticated risk management tools.
Company Benefits & Perks
Competitive salary, annual performance-based bonus and stock grant
Retirement plan 401(k) with competitive company match
Excellent health and welfare benefits including medical, dental, and vision benefits
Wellness screenings and assessments, health coaches and counseling services through Employee Assistance Program (EAP)
Paid time off and a generous parental leave policy
Daily company paid lunch 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 sit/stand desks and multi-monitor setups
Company Overview
Interactive Brokers (IBKR), a subsidiary of publicly-traded **MEMBERS ONLY**SIGN UP NOW***., based in Greenwich, Connecticut (NASDAQ: IBKR) is a low-cost provider of trade execution and clearing services for active traders, institutional investors, financial advisors and introducing brokers. IBKR’s premier technology provides electronic access to stocks, options, futures, forex, bonds, and funds worldwide from a single IBKR Integrated Investment account. IBKR is one of the largest online brokers by trade volume and is consistently ranked at the top of its field.
Our employees are part of a dynamic, multinational, fast-paced, results-oriented team working to provide our customers with state-of-the-art trading technology, superior execution capabilities, worldwide electronic access, and sophisticated risk management tools.
Our headquarters are in Greenwich, CT, USA. IBKR has offices in the United States, Australia, Canada, China, Estonia, Hong Kong, Hungary, India, Ireland, Japan, Russia, Singapore, Switzerland and United Kingdom.
IBKR is a member of NYSE, FINRA, and SIPC. Interactive Brokers Group brokerage affiliates are regulated by securities and commodities agencies around the world.
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