Compliance Intake Coordinator

6 days ago


Chicago, Illinois, United States Interactive Brokers Full time
Company Overview

Interactive Brokers Group, Inc. is a global financial services leader headquartered in Greenwich, CT, with offices across the globe. As a pioneer in trading innovation, we empower our clients to make informed investment decisions through cutting-edge technology and personalized support.

Salary & Benefits

We offer a competitive annual salary of $65,000, plus an annual performance-based bonus, stock grant opportunities, and a comprehensive benefits package, including medical, dental, and vision coverage, as well as a 401(k) plan with a generous company match.

Job Description

This role involves owning the Regulatory Correspondence intake process, identifying and assessing inquiries from regulatory authorities, and creating and assigning related matters within internal case management. The ideal candidate will have outstanding organizational skills, be able to work independently in a small team environment, and possess excellent communication skills.

Key Responsibilities:
  • Monitor regulatory response timelines and facilitate timely productions
  • Communicate with regulators, law enforcement officials, and IBKR stakeholders regarding case status
  • Escalate matters to Regulatory Correspondence management as necessary
Qualifications:
  • Bachelor's Degree or equivalent experience
  • Familiarity with the financial services regulatory environment (broker-dealer, investment adviser, futures commission merchant, etc.) is helpful but not required
  • Able to work independently in a small team environment and manage competing priorities


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