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Enhanced Due Diligence Compliance Analyst

4 months ago

Chicago, United States Interactive Brokers Group Inc. Full time

About INTERACTIVE BROKERS

This is a hybrid role (three days in the office/two days remote).

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 in our Chicago office. This is an entry-level position with excellent growth potential for highly motivated and exceptional performers. Analysts will report to a Compliance Manager in our Chicago office and assist with ensuring the firm complies with the Bank Secrecy Act, USA PATRIOT Act, anti-terrorist financing, sanctions, industry AML, and securities laws and regulations.

Responsibilities

* Conducting reviews of new and existing clients' KYC profiles and transactions in accordance with established procedures in line with IBKR policy
* Assessing client's AML programs in accordance with established procedures in line with IBKR policy
* Advising management by collecting, analyzing, and summarizing data and trends.
* Maintain accurate tracking of assignments and requests for documentation to ensure appropriate deadlines are met.
* Contribute to streamlining current processes and identifying areas for improvement.
* Writing risk assessments, investigations, suspicious activity reports, and client communications

Qualifications

* 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 a similar organization.
* Experience in internal audit, legal, accounting, or other control functions of a financial services firm or regulator would be beneficial.
* Absent direct industry experience, we will also consider applicants with excellent Bachelor-Level educational credentials. A focus on law, accounting, data analytics or similar areas is preferred.
* All candidates must have strong writing, analytical, and quantitative skills.
* To thrive and succeed in a work environment, candidates must be focused, adaptable, motivated, collaborative and have strong time management skills.

Preferred qualifications:

* High 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
* Experience with due diligence reviews of banks, broker-dealers, mutual funds, and other financial institutions
* ACAMS, CFE, CFCS, Series 7, or other FINRA licenses or certifications a plus
* Knowledge of Capital Markets
* Experience with trade surveillance

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 a competitive company match
* Excellent health and wellness benefits, including medical, dental, and vision benefits and a 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

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.