Analyst - Financial Advisor Compliance - Temp

1 month ago

Chicago, United States Interactive Brokers Full time
About INTERACTIVE BROKERS

This is Hybrid role (3 days in office /2 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 two temporary Compliance Analysts in our Chicago/Greenwich office for a 6-month assignment. The Compliance Analysts will work independently and quickly adapt to a fast-paced environment. The analysts will report to the Financial Advisor ("FA") Compliance Team Lead and assist with various initiatives relating to Interactive Brokers Financial Advisor program and clients.

What will be your responsibilities within IBKR:
  • Responsible for conducting surveillance reviews pertaining to the firm's financial advisor clients and platform.
  • Assisting with reviewing alerts generated in IBKR360 to look for potential violations with a focus on advisors and their clients who have matching AML/KYC information including Email Address/Phone Number/SSO Login (device) Matches.
  • Sending outreach to financial advisors to solicit additional information.
  • Identifying items for escalation to management.
  • Writing up review notes and findings for manager review.
What Skills Are Required:
  • 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 a 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.
  • A 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 small-team environment and to multi-task with minimal supervision.
  • Experience with Atlassian Confluence/JIRA is preferred.
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 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 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.

  • Analyst - Financial Advisor Compliance - Temp

    1 month ago

    Chicago, United States Interactive Brokers Full time

    Job DescriptionJob DescriptionAbout INTERACTIVE BROKERS!This is Hybrid role (3 days in office /2 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...

  • Financial Advisor

    2 months ago

    Chicago, United States Pure Financial Advisors, LLC Full time

    Pure Financial Advisors, LLC is a fee-only Registered Investment Advisor (RIA), providing comprehensive retirement planning services and tax-optimized investment management services. Using a holistic planning approach, Pure Financial manages over $6.29 billion in assets (as of March 25, 2024) and services clients across the nation. We are headquartered in...

  • Compliance Analyst

    2 weeks ago

    Chicago, Illinois, United States Interactive Brokers Full time

    About Interactive BrokersThis is a Hybrid role (3 days in office / 2 days remote)Interactive Brokers Group has been a leader in trading innovation since its inception, recognized for our commitment to technology and excellence in the financial services sector. We continuously strive to provide our clients with an unparalleled trading platform that combines...

  • Financial Advisor

    3 months ago

    Chicago, United States Wintrust Financial Full time

    Wintrust Wealth Management serves the financial needs of private clients, including high net worth individuals, business owners, and institutions. Since our founding in 1931, we have been helping clients meet their increasingly complex financial goals with the highest standards of service and integrity. Through our four companies, Wintrust Investments LLC,...

  • Financial Advisor

    2 months ago

    Chicago, United States Wintrust Financial Full time

    Job DescriptionWintrust Wealth Management serves the financial needs of private clients, including high net worth individuals, business owners, and institutions. Since our founding in 1931, we have been helping clients meet their increasingly complex financial goals with the highest standards of service and integrity. Through our four companies, Wintrust...

  • Financial Advisor

    3 weeks ago

    Chicago, United States STRIDE Financial Full time

    Job Title: Licensed Financial Advisor Location: Lincoln Park - Chicago, IL Company: STRIDE Investments About Us: STRIDE Investments is a leading private wealth management firm based in Chicago, dedicated to providing exceptional financial planning and wealth management services. Our mission is to help clients achieve their financial goals through...

  • Financial Advisor

    2 months ago

    Chicago, United States STRIDE Financial Full time

    Job Title: Licensed Financial AdvisorLocation: Lincoln Park - Chicago, ILCompany: STRIDE InvestmentsAbout Us: STRIDE Investments is a leading private wealth management firm based in Chicago, dedicated to providing exceptional financial planning and wealth management services. Our mission is to help clients achieve their financial goals through...

  • Financial Advisor

    2 months ago

    Chicago, United States STRIDE Financial Full time

    Job Title: Licensed Financial AdvisorLocation: Lincoln Park - Chicago, ILCompany: STRIDE InvestmentsAbout Us: STRIDE Investments is a leading private wealth management firm based in Chicago, dedicated to providing exceptional financial planning and wealth management services. Our mission is to help clients achieve their financial goals through...

  • Regulatory Compliance Analyst

    2 weeks ago

    Chicago, Illinois, United States Addison Group Full time

    Regulatory Compliance AnalystLocation: 100% Remote – Will be working on EST or CST time.Industry: Wealth ManagementPay: $30 - $35/hrAbout Addison Group:Addison Group is a distinguished firm in the wealth management industry, dedicated to delivering extensive investment and financial planning solutions. As they expand their workforce, they are seeking a...

  • Regulatory Compliance Analyst

    7 days ago

    Chicago, Illinois, United States Addison Group Full time

    Regulatory Compliance AnalystLocation: 100% Remote – Operating on EST or CST time.Industry: Wealth ManagementPay: $30 - $35/hrAbout Addison Group:Addison Group is a distinguished firm in the wealth management industry, dedicated to delivering extensive investment and financial planning solutions. As the organization expands, we are seeking a Regulatory...

  • Financial Compliance Analyst

    2 weeks ago

    Chicago, Illinois, United States Illinois Housing Development Authority Full time

    Position Title: Financial AnalystDepartment: Asset ManagementThe Illinois Housing Development Authority (IHDA) is dedicated to fostering a workplace that values diversity, recognition, and inclusion. We are committed to hiring individuals from varied backgrounds to enrich our mission of financing affordable housing throughout Illinois.About Us: IHDA stands...

  • Financial Advisor Support Specialist

    1 week ago

    Chicago, United States AFC Financial Advisory Corporation Full time $40,000 - $60,000

    Job DescriptionJob DescriptionAre you interested in working in the financial services and wealth management industry?Would you like to become a financial advisor?Our firm is offering a truly unique opportunity for just the right candidate. We will hire someone who may be interested in becoming a financial advisor but does not know how to get started. You...

  • Financial Advisor

    3 weeks ago

    Chicago, United States New York Life - Todd Couture Full time

    Job DescriptionJob DescriptionWe are seeking an experienced financial advisor to assist our clients in designing and implementing strategies to achieve their goals. The ideal candidate will have a Bachelor's degree in business or finance, a proven track record of creating successful and long term advising relationships, and excellent communication...

  • Financial Investment Advisor

    2 weeks ago

    Chicago, Illinois, United States Calamos Asset Management Full time

    Position Overview:The Financial Investment Advisor Level I plays a crucial role in enhancing the telephonic outreach within designated regions, complementing the sales initiatives led by the territory's Vice President of Investment Consulting. This role is pivotal in formulating strategies aimed at broadening Calamos' market presence within the assigned...

  • Voya Chicago Financial Advisor

    3 months ago

    Chicago, United States Voya Financial Advisors Inc Full time

    Voya Financial Advisors®, Inc., a leading independent broker-dealer in the defined contribution & defined benefit business, is currently seeking a Financial Professional to join our team in the greater Chicago area to work plan sponsor relationships. This position will be responsible for 403(b)/457 enrollment, retirement and investment strategies, and...

  • Senior Financial Analyst

    2 months ago

    Chicago, United States Creative Financial Staffing Full time

    SENIOR FINANCIAL ANALYST - Why take a Senior Financial Analyst position with this company? Company has grown tremendously over the last year organically and through merger and acquisitions. Career path for this person is to move into a Manager role down the line Hybrid and flexible schedule Full benefits to include healthcare, 401k w/match, unlimited PTO...

  • Senior Financial Analyst

    2 months ago

    Chicago, United States Creative Financial Staffing Full time

    SENIOR FINANCIAL ANALYST - Why take a Senior Financial Analyst position with this company?Company has grown tremendously over the last year organically and through merger and acquisitions.Career path for this person is to move into a Manager role down the lineHybrid and flexible scheduleFull benefits to include healthcare, 401k w/match, unlimited PTO (as...

  • Sanctions Compliance Analyst

    2 weeks ago

    Chicago, Illinois, United States Intelliswift Full time

    Job Title: Fraud/AML/Sanctions AnalystLocation: Chicago, IL or Tempe, AZContract Type: W2 onlyPay Rate Range: $32.40/HourRole Overview: The selected candidate will be part of the Second Line AML team, concentrating on sanctions and compliance. This role involves scrutinizing client identities and transactions to ensure adherence to regulatory standards in...

  • Lead Financial Analyst

    2 weeks ago

    Chicago, Illinois, United States Creative Financial Staffing Full time

    Lead Financial Analyst ABOUT CREATIVE FINANCIAL STAFFINGCreative Financial Staffing is seeking a Lead Financial Analyst to join a thriving finance team. This position reports to an exceptional leader and offers significant opportunities for professional development. This role is ideal for individuals eager to contribute to a vibrant organization with a focus...

  • Financial Analyst

    1 month ago

    Chicago, Illinois, United States Hightower Advisors Full time

    About the Company:Hightower is a wealth management firm that offers investment, financial, and retirement planning services to individuals and corporations. They provide support to independent wealth advisors and operate as a registered investment advisor.Position:We are seeking an Analyst to join our Financial Planning & Analysis (FP&A) team. This team uses...