Financial Regulatory Correspondence Specialist

1 week ago


Chicago, Illinois, United States Interactive Brokers Full time

Company Overview

Interactive Brokers Group, Inc. (Nasdaq: IBKR) is a global leader in financial services headquartered in Greenwich, CT, USA. We have been at the forefront of innovation for over four decades, known for our cutting-edge technology and client commitment.

We provide global 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 presence enable us to make a significant impact in the financial industry.

Barron's has recognized Interactive Brokers as the #1 online broker for six consecutive years. As a result, we are seeking an experienced Compliance Intake Administrator to join our team.

Job Description

The selected candidate will work closely with the Regulatory Correspondence Unit Head and other team members to ensure compliance with regulatory requirements. Key responsibilities include:

  • Owning the Regulatory Correspondence intake process, including identifying and assessing inquiries from regulatory and law enforcement authorities.
  • Creating and assigning related matters within internal case management promptly.
  • Monitoring regulatory response timelines and facilitating timely regulatory productions.
  • Communicating with regulators, law enforcement officials, and IBKR stakeholders regarding case status.
  • Escalating matters to Regulatory Correspondence management as appropriate.
  • Involvement in special projects as necessary.

Requirements

To be successful in this role, the ideal candidate should possess:

  • Outstanding organizational and time management skills.
  • Familiarity with the financial services regulatory environment (broker-dealer, investment adviser, futures commission merchant, etc.).
  • A solid academic background – Bachelor's Degree or equivalent experience.
  • The ability to work independently in a small team environment and manage competing priorities.
  • Clear, concise communication skills.
  • A high degree of comfort with technology and the ability to quickly learn IBKR systems.

Compensation and Benefits

We offer a competitive salary range of $60,000 - $80,000 per annum, depending on experience. In addition, you will receive:

  • An annual performance-based bonus.
  • A stock grant.
  • A retirement plan 401(k) with a competitive company match.
  • Excellent health and wellness benefits, including medical, dental, and vision benefits.
  • 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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