Compliance Risk Analyst

1 month ago


Chicago, Illinois, United States Interactive Brokers Full time

h3JobOverview/h3pInteractiveBrokersisseekingahighlymotivatedComplianceAnalysttojoinitsteaminChicago,Illinois.Thisentry-levelpositionoffersexcellentgrowthpotentialforhighlymotivatedandexceptionalperformers./ppTheidealcandidatewillhave1-3yearsofregulatorycomplianceexperienceworkingforanexchange,aregulatoryorganization,abroker-dealer(BD),afuturescommissionmerchant(FCM)orasimilarorganization.Alternatively,experienceininternalaudit,legal,accountingorothercontrolfunctionsofafinancialservicesfirmorregulatorwouldbebeneficial./ppTheComplianceAnalystwillberesponsibleforconductingaccountactivityreviews,advisingmanagementbycollecting,analyzing,andsummarizingdataandtrends,preparingregulatoryfilings,andcontributingtostreamliningcurrentprocessesandidentifyingareasforimprovement./ppThesuccessfulcandidatewillhavestrongproductknowledgeofequityorexchange-tradedderivativemarkets,highdegreeofcomfortandfluencywithcomputersandtechnology,excellentoralandwrittencommunicationskills,andabilitytoworkbothindependentlyaswellasinasmall-teamenvironment./ppbKeyResponsibilities:/b/pulliConductingaccountactivityreviewstodetermineiftheactivityalignswithIBKRpolicy./liliAdvisingmanagementbycollecting,analyzing,andsummarizingdataandtrends./liliPreparingregulatoryfilings./liliContributingtostreamliningcurrentprocessesandidentifyingareasforimprovement./liliReviewingtradingdataforsuspiciousactivityorpatternsofunusualtrading./li/ulpbRequirements:/b/pulliStrongproductknowledgeofequityorexchange-tradedderivativemarkets./liliHighdegreeofcomfortandfluencywithcomputersandtechnology./liliExcellentoralandwrittencommunicationskills./liliAbilitytoworkbothindependentlyaswellasinasmall-teamenvironment./li/ulpbWhatWeOffer:/b/pulliDailycompanylunchallowanceprovided,andafullystockedkitchenwithhealthyoptionsforbreakfastandsnack./liliCorporateevents,includingteamoutings,dinners,volunteeractivitiesandcompanysportsteams./liliModernofficeswithmulti-monitorsetups./li/ulpbAboutInteractiveBrokers:/b/ppInteractiveBrokersGroup,Inc.(Nasdaq:IBKR)isaglobalfinancialservicescompanyheadquarteredinGreenwich,CT,USA,withofficesinover15countries.Wehavebeenattheforefrontoffinancialinnovationforoverfourdecades,knownforourcutting-edgetechnologyandclientcommitment./ppIBKRaffiliatesprovideglobalelectronicbrokerageservicesaroundtheclockonstocks,options,futures,currencies,bonds,andfundstoclientsinover200countriesandterritories.Weserveindividualinvestorsandinstitutions,includingfinancialadvisors,hedgefundsandintroducingbrokers.Ouradvancedtechnology,competitivepricing,andglobalmarkethelpourclientstomakethemostoftheirinvestments./ppBarron'shasrecognizedInteractiveBrokersasthe#1onlinebrokerforsixconsecutiveyears.Wearecommittedtosimplifyingandenhancingfinancialopportunitiesusingstate-of-the-arttechnology./p


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