Compliance Analyst

4 weeks ago

Houston, United States Longwood University Full time

You are viewing a preview of this job. Log in

or register

to view more details about this job. Interactive Brokers is looking to hire Compliance Analysts for a temp project. This position is in Chicago, IL. Analysts will report to a Compliance Team Lead and help ensure the firm complies with the Bank Secrecy Act, USA PATRIOT Act, anti-terrorist financing, sanctions, industry AML, and securities laws and regulations. Day-to-day responsibilities include: Conducting reviews of account activity, including trading activity, deposit and withdrawal activity, and public domain activity, to determine if the activity is in line with IBKR policy Advising management by collecting, analyzing, and summarizing data and trends. Preparing regulatory filings Contribute to streamlining current processes and identifying areas for improvement Review trading data for suspicious activity or patterns of unusual trading 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. Alternatively, experience in internal audit, legal, accounting or other control function of a financial services firm or regulator would be beneficial. We will also consider applicants without experience who possess excellent Bachelor’s-level educational credentials and have some background in law, accounting, data analytics or similar areas with strong analytical and quantitative skills.

Qualifications, Skills & Attributes A high degree of comfort and fluency with computers and technology and an 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 are a plus Capital Markets knowledge Company Benefits & Perks

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 Modern offices with multi-monitor setups

#J-18808-Ljbffr

  • Trade Compliance Analyst

    1 week ago

    Houston, United States Chevron Full time

    Collaborating with compliance colleagues to establish and help deploy appropriate compliance procedures. Serving as a point of contact for supported business unit personnel needing guidance on trade compliance requirements. Supporting supervisor in a Compliance Analyst, Trade, Compliance, Analyst, Business Partner, Leadership, Business Services

  • Pharmacy Compliance Analyst

    2 weeks ago

    Houston, United States Onco360 Full time

    Compliance Analyst needed in the Houston metro area! Join our growing organization! We need this role to be within driving distance to our pharmacy location. Onco360 has an immediate need for a Compliance Analyst. Onco360 Pharmacy is a unique oncology pharmacy model created to serve the needs of community, oncology and hematology physicians, patients,...

  • Compliance Analyst

    1 day ago

    Houston, United States Westinghouse Electric Company Full time

    Westinghouse is seeking a TSA Compliance Analyst for a 2-3 month project with our energy client in Houston, Texas. Job DescriptionThe position oversees the design and development of programs, processes, and procedures necessary to assure compliance with TSA. Monitors various regulatory statutes and protocols, coordinates and implements new initiatives...

  • Compliance Analyst

    5 days ago

    Houston, United States Westinghouse Electric Company Full time

    Westinghouse is seeking a TSA Compliance Analyst for a 2-3 month project with our energy client in Houston, Texas. Job DescriptionThe position oversees the design and development of programs, processes, and procedures necessary to assure compliance with TSA. Monitors various regulatory statutes and protocols, coordinates and implements new initiatives...

  • Compliance Analyst

    3 weeks ago

    Houston, United States Westinghouse Electric Company Full time

    Westinghouse is seeking a TSA Compliance Analyst for a 2-3 month project with our energy client in Houston, Texas. Job Description The position oversees the design and development of programs, processes, and procedures necessary to assure compliance with TSA. Monitors various regulatory statutes and protocols, coordinates and implements new initiatives...

  • Compliance Analyst

    1 month ago

    Houston, United States Westinghouse Electric Company Full time

    Westinghouse is seeking a TSA Compliance Analyst for a 2-3 month project with our energy client in Houston, Texas. Job DescriptionThe position oversees the design and development of programs, processes, and procedures necessary to assure compliance with TSA. Monitors various regulatory statutes and protocols, coordinates and implements new initiatives...

  • Tsa Compliance Analyst

    1 month ago

    Houston, United States Westinghouse Full time

    Nuclear Energy Westinghouse is seeking a TSA Compliance Analyst for a 2-3 month project with our energy client in Houston, Texas. **Job Description**: The position oversees the design and development of programs, processes, and procedures necessary to assure compliance with TSA. Monitors various regulatory statutes and protocols, coordinates and implements...

  • Analyst - EHS Air Compliance

    2 weeks ago

    Houston, United States Coterra Energy Full time

    ABOUT COTERRA ENERGY Coterra Energy Inc. was formed in October 2021 as the result of a merger between Cabot Oil & Gas Corporation and Cimarex Energy. By merging, the two legacy companies have created one entity full of talented people with decades of experience in the energy industry. Our team is passionate about delivering reliable energy to all and...

  • EPA Compliance Analyst

    1 month ago

    Houston, Texas, United States Vitol Full time

    Job Description The EPA Compliance Analyst handles state and federal regulatory compliance, daily documentation, correspondence, and recordkeeping.  Main Activities State Programs – Maintaining quarterly / annual information for reporting to Washington, California and Oregon as it relates to CARBOB, CARB Diesel, ULSD, UNL-Sub, Ethanol, Biodiesel. For...

  • IT Audit Compliance Analyst

    3 weeks ago

    Houston, United States Kinder Morgan Full time

    Position Description Primary purpose: The Compliance Analyst resides within Information Technology. The successful candidate will be working for one of the largest energy infrastructure companies in North America. The candidate will serve as a project control and compliance liason across the IT Department, working with...

  • Market Compliance Monitoring Analyst

    4 days ago

    Houston, United States TotalEnergies Full time

    **Pays** Etats-Unis **Lieu** USA **Lieu de travail** HOUSTON-LOUISIANA STREET(USA) **Domaine** Gouvernance et Information **Type de contrat** CDI **Expérience** Minimum 3 ans You are someone who possesses the following experience and credentials: - Undergraduate degree in economics, mathematics, computer science, statistics; accounting, finance,...

  • Regulatory Compliance Specialist

    2 weeks ago

    Houston, United States Houston Methodist Full time

    Regulatory Compliance Specialist - Medicare Analyst (Katy) Direct message the job poster from Houston Methodist ***Medicare compliance experience is preferred Note: Office for this position is located at our Continuing Care Hospital: 701 S. Fry Rd. Katy, TX 77450. (Hybrid position) JOB SUMMARY At Houston Methodist, the CBO Regulatory Compliance Specialist is...

  • Pipeline Safety Data and Compliance Analyst

    7 days ago

    Houston, United States American Bureau of Shipping (ABS) Full time

    The Pipeline Safety Data and Compliance Analyst will be a part of an MAOP (maximum allowable operating pressure) Reconfirmation team tasked with locating records that will prevent reconfirmation activities for natural gas transmission pipelines. This position requires an individual with a high attention to detail and the ability to be successful while...

  • Compliance Senior Analyst

    2 weeks ago

    Houston, United States City of San Antonio Full time

    Under direction, is responsible for performing moderately complex level compliance reviews, which include planning of projects/reviews, organizing, directing, investigating and assessing compliance. Leads compliance team in performing project steps and procedures to establish and maintain contract/grant compliance by both the City and the contractor/grantor....

  • Financial Analyst

    3 weeks ago

    Houston, United States The Burchell Group Inc. Full time

    Job DescriptionJob DescriptionJob Title:Financial Analyst - Cost ControlsType:ContractLocation:Pearland, TXExperience:5-10 yearsOur client is seeking a Financial Analyst to support their New Business Unit Project Management group based out of Houston, TX. In this role the Financial Analyst with work closely with the Costs Controls Manager to...

  • Research Compliance Analyst- IRB

    2 weeks ago

    Houston, United States University of Houston Full time

    Under the direction of the Director of the Office of Research Policies, Compliance and Committees, serves as a regulatory expert and coordinates activities directly related to research compliance. * Responsible for the comprehensive analysis of human and animal research protocols, and conflict of interest certifications and disclosures. * Review...

  • Research Compliance Analyst- IRB

    1 week ago

    Houston, United States University Of Houston Full time

    Under the direction of the Director of the Office of Research Policies, Compliance and Committees, serves as a regulatory expert and coordinates activities directly related to research compliance. * Responsible for the comprehensive analysis of human and animal research protocols, and conflict of interest certifications and disclosures. * Review human/animal...

  • Research Compliance Analyst- IRB

    3 weeks ago

    Houston, United States Houston Journal of Health Law & Policy Full time

    Description Under the direction of the Director of the Office of Research Policies, Compliance and Committees, serves as a regulatory expert and coordinates activities directly related to research compliance. Responsible for the comprehensive analysis of human and animal research protocols, and conflict of interest certifications and disclosures. Review...

  • Research Compliance Analyst- IRB

    4 weeks ago

    Houston, United States Houston Journal of Health Law & Policy Full time

    Description Under the direction of the Director of the Office of Research Policies, Compliance and Committees, serves as a regulatory expert and coordinates activities directly related to research compliance. Responsible for the comprehensive analysis of human and animal research protocols, and conflict of interest certifications and disclosures. Review...

  • Trading Data Analyst, Compliance

    4 weeks ago

    Houston, United States Selby Jennings Full time

    A top commodities trading firm is targeting skilled data analytics professionals to join their Compliance team to focus on leveraging post-trade data to assess risk. This is an opportunity to directly impact the firm's investment strategies by leveraging modern data tools to analyze pertinent data. Ideally, the team is seeking candidates with experience...