Analyst - Financial Advisor Compliance (Temp)
Company Overview
Interactive Brokers Group, Inc. (Nasdaq: IBKR) is a global financial services company headquartered in Greenwich, CT, USA, with offices in over 15 countries. We have been at the forefront of financial innovation for over four decades, known for our cutting-edge technology and client commitment.
IBKR affiliates provide global electronic brokerage services around the clock on stocks, options, futures, currencies, bonds, and funds to clients in over 200 countries and territories. We serve individual investors and institutions, including financial advisors, hedge funds and introducing brokers. Our advanced technology, competitive pricing, and global market help our clients to make the most of their investments.
Barron's has recognized Interactive Brokers as the #1 online broker for six consecutive years. Join our dynamic, multi-national team and be a part of a company that simplifies and enhances financial opportunities using state-of-the-art technology.
This is a hybrid role (three days in the office/two days remote).
About Your Team:
Interactive Brokers is looking to hire two temporary Compliance Analysts for a six-month assignment in our Chicago, IL, office. The Compliance Analysts will work independently and quickly adapt to a fast-paced environment. They will report to the Financial Advisor ("FA") Compliance Team Lead and assist with various initiatives relating to the Interactive Brokers Financial Advisor program and clients.
What will be your responsibilities within IBKR:
• Responsible for conducting surveillance reviews on the firm's financial advisor clients and platform.
• Assisting with reviewing alerts generated in IBKR360 to look for potential violations, focusing on advisors charging clients excessive or unexplainably high fees for services provided.
• Sending outreach to financial advisors to solicit additional information.
• Identifying items for escalation to management
• Writing up review notes and findings for manager review.
What Skills Are Required:
• The ideal candidate should possess a strong dose of compliance curiosity and have some regulatory experience working for an exchange, a regulatory organization, a Broker Dealer, a Futures Commission Merchant or a similar organization. Alternatively, experience in internal auditing, compliance, legal, accounting, or other control functions of a financial services firm or regulator would be beneficial. Without 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.
• A high degree of comfort and fluency with computers and technology, as well as an understanding of how technology is applied to business and regulatory problems, are preferred. Experience working directly with programmers and/or familiarity with scripting or query language is also preferred.
• Outstanding oral and written communication skills
• Ability to develop compliance solutions that satisfy relevant regulations while executing sound business judgment
• Ability to work both independently and in a small team environment and to multitask with minimal supervision
• Experience with Atlassian Confluence/JIRA is preferred.
Company Benefits & Perks
• Daily company lunch allowance provided, and a fully stocked kitchen with healthy options for breakfast and snacks
• Corporate events, including team outings, dinners, volunteer activities and company sports teams
• Modern offices with multi-monitor setups
