Compliance Analyst

3 weeks ago


Chicago, Illinois, United States Interactive Brokers Full time
About Interactive Brokers

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 Description

This 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
Salary & Benefits

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


  • Chicago, Illinois, United States TalentFish Full time

    Job Title: GRC Compliance AnalystAre you looking for a career change in the field of compliance and risk management? TalentFish has an exciting opportunity for a Senior Analyst, Cybersecurity Governance Risk & Compliance. This direct hire role is based in Chicago, Atlanta, NY or DC (Remote) and offers a competitive salary range of $115,000-$145,000 per...


  • Chicago, Illinois, United States Interactive Brokers Full time

    Job Title: Risk and Compliance Analyst">Job Summary: We are seeking a skilled risk and compliance professional to join our Regulatory Correspondence Unit as a Risk and Compliance Analyst. In this role, you will be responsible for monitoring regulatory response timelines, facilitating timely regulatory productions, and communicating with regulators and IBKR...


  • Chicago, Illinois, United States Old National Bank Full time

    Job OverviewOld National Bank is seeking a highly motivated and detail-oriented Regulatory Compliance Risk Analyst to join our Corporate Compliance Team. This individual will be responsible for performing testing activities to ensure compliance with regulatory requirements, working closely with the Compliance Testing Manager and other subject matter...


  • Chicago, Illinois, United States Argo Group Full time

    Argo Group is seeking a highly skilled Senior Compliance Data Analyst to join our team in Chicago. As a key member of our team, you'll play a vital role in ensuring that our data meets the highest standards of accuracy and completeness.As a Senior Compliance Data Analyst, you'll work closely with Regulatory, Underwriting, and Claims teams to resolve data...


  • Chicago, Illinois, United States Fay Financial Full time

    We are seeking a Regulatory Compliance Analyst to join our team at Fay Financial. In this role, you will be responsible for ensuring compliance with regulatory requirements and company policies.About the RoleThis role provides an exciting opportunity to work with a dynamic team that is committed to delivering innovative servicing solutions for both...


  • Chicago, Illinois, United States Old National Bank Full time

    About the Role">This is an exciting opportunity to join Old National Bank as a Compliance Testing Analyst, where you will play a critical role in ensuring the bank's compliance with regulatory requirements.As a Compliance Testing Analyst, you will be responsible for performing testing activities for various regulatory compliance requirements applicable to...


  • North Chicago, Illinois, United States Planet Pharma Full time

    About the RoleWe are seeking a highly skilled Compliance Analyst to join our team at Planet Pharma. As a key member of our US Commercial Compliance department, you will play a critical role in supporting the execution of our compliance monitoring program and ensuring the accurate reporting of data for Healthcare Professionals (HCPs) and Healthcare...


  • Chicago, Illinois, United States Northwestern Memorial Healthcare Full time

    ResponsibilitiesThe Revenue Integrity Analyst will be responsible for performing daily maintenance and quarterly audits of the EAP, preparing necessary files for the EAP database, and identifying charge capture opportunities or compliance issues in revenue-producing departments.Key responsibilities include:Performing daily maintenance and quarterly audits of...


  • Chicago, Illinois, United States CHICAGO COOK WORKFORCE PARTNERSHIP Full time

    Job SummaryWe are seeking a highly skilled Financial Compliance Monitor to join our team at the Chicago Cook Workforce Partnership. The successful candidate will ensure compliance requirements are met through finance monitoring reviews of assigned subrecipients.ResponsibilitiesMonitor subrecipients to ensure contract compliance and fiscal effectiveness,...


  • Chicago, Illinois, United States The Kraft Heinz Company Full time

    Job SummaryAbout the RoleThe Kraft Heinz Company is seeking a skilled Senior Financial Analyst - Internal Controls to join our team. This position will provide leadership to drive an effective and efficient control environment supporting assigned business process areas.Responsibilities• Partner with the business to ensure an effective and efficient...


  • Chicago, Illinois, United States Fay Financial Full time

    Key Responsibilities: As a Quality Assurance Specialist, you will be responsible for conducting operational and compliance reviews, identifying potential findings, and reporting issues to managers. You will also develop domain knowledge of our business, understand established regulatory requirements, and ensure compliance with our policies and procedures.


  • Chicago, Illinois, United States Interactive Brokers Full time

    Job SummaryWe are seeking a highly skilled Regulatory Compliance Specialist to join our team in Chicago. As an Enhanced Due Diligence (EDD) Analyst, you will play a critical role in ensuring the firm's compliance with regulatory requirements.


  • Chicago, Illinois, United States CHICAGO COOK WORKFORCE PARTNERSHIP Full time

    About the RoleThis Compliance Oversight Specialist position is a key role in ensuring that our subrecipients comply with grant requirements and regulations. The successful candidate will have strong analytical skills and the ability to communicate effectively with stakeholders. In return, we offer a dynamic work environment and opportunities for professional...


  • Chicago, Illinois, United States TalentFish Full time

    About UsTalentFish is committed to providing a comprehensive and inclusive work environment that fosters growth, innovation, and success. We believe in harnessing the power of diversity and creating opportunities for all employees to thrive.Job DescriptionThis is a senior-level position that requires a strong understanding of multiple risk management...


  • Chicago, Illinois, United States Spectraforce Technologies Full time

    Job DescriptionWe are seeking a skilled Commercial Compliance Analyst to join our team. In this role, you will assist in the analysis of data, investigation, documentation, and reporting of potential compliance observations related to HCPs in iREP and Concur CTE systems.Key Responsibilities- Analyze data from multiple sources to identify trends and...


  • Chicago, Illinois, United States After School Matters Full time

    Key ResponsibilitiesAdministration of Contract Payments: Oversee the administration of CBO contract payments, including reviewing/approving and submitting payments for processing in a timely manner, coordinating payment distribution, reconciling expense reports, creating CBO and EI Attributes report for Finance, creating finals estimates report for Finance,...


  • Chicago, Illinois, United States Phillip Capital Inc. Full time

    Company OverviewPhillip Capital Inc. is a self-clearing broker dealer and Futures Commission Merchant (FCM) registered with the SEC/FINRA and CFTC respectively. We strive to maintain a culture of integrity, accountability, open communication, and continual improvement to build for the long term.Job RequirementsWe seek an experienced professional to fill the...


  • Chicago, Illinois, United States 1872 Consulting Full time

    As a Senior Data Analyst at 1872 Consulting, you will be responsible for providing critical support to our financial risk management activities. This includes monitoring and reporting on the effectiveness of our risk management framework, developing and maintaining advanced data analytics and reporting, and creating and monitoring key performance...


  • Chicago, Illinois, United States Insight Global Full time

    We require an expert to take on the role of BSA/AML Compliance Expert. The selected candidate will be part of our GFC Complex Investigations team and will be responsible for maintaining the AML/GFC program while ensuring BSA/AML compliance. Essential duties include:Supporting the maintenance of the AML/GFC program to ensure ongoing compliance with BSA/AML...


  • Chicago, Illinois, United States Phillip Capital Inc. Full time

    A Message from Our CEOWe believe that a high-influence position within a growing global business is an opportunity to make meaningful contributions to your team and the company.The OpportunityWe are looking for an experienced Compliance Analyst to join our team, providing guidance on complex regulatory issues, assisting in the management of regulatory...