Compliance Analyst
3 weeks ago
As a global financial services company, we provide electronic brokerage services around the clock on stocks, options, futures, currencies, bonds, and funds to clients in over 200 countries and territories. Our advanced technology, competitive pricing, and global market help our clients make the most of their investments.
We are recognized as the #1 online broker for six consecutive years by Barron's and have been consistently at the forefront of trading innovation since our inception in 1983. Our software development is the lifeblood of our firm, and it shows in our stellar brokerage platform.
Job DescriptionThis is a full-time Quality Assurance Compliance Analyst position based in our Chicago office. 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 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 who have some background in law, accounting, data analytics, or similar areas and strong analytical and quantitative skills.
Main Responsibilities- Conducting quality assurance 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
- Perform quality assurance on regulatory filings
- Contribute to streamlining current processes and identifying areas for improvement
- Review trading data for suspicious activity or patterns of unusual trading
The salary for this position is estimated to be around $80,000 per year, with an annual performance-based bonus and stock grant. Additional benefits include:
- Competitive 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
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