Trade Surveillance Senior Analyst

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Job Description & Responsibilities

Interactive Brokers is looking to hire a Senior Compliance Analyst at the Chicago Office. This is a position with excellent growth potential for highly motivated and exceptional performers. Analysts will report to a Compliance Manager and will assist with ensuring the firm complies with Bank Secrecy Act, USA PATRIOT Act, anti-terrorist financing, sanctions, industry AML, and securities laws and regulations.

Day-to-day responsibilities include:

Conducting reviews of account activity, including trading activity, deposit and withdrawal activity, and public domain activity, to determine if activity is in line with IBKR policy

Advising management by collecting, analyzing, and summarizing data and trends.

Preparing regulatory filings

Contribute to streamlining current processes and identifying areas for improvement

Review trading data for suspicious activity or patterns of unusual training

The ideal candidate will have 2-5 years regulatory compliance experience working for an exchange, a regulatory organization, a Broker Dealer (BD), a Futures Commission Merchant (FCM) or similar organization. Alternatively, experience in internal audit, legal, accounting or other control function of a financial services firm or regulator would be beneficial. In the absence of direct industry experience, we will also consider applicants with excellent Bachelor’s-level educational credentials who have some background in law, accounting, data analytics or similar areas with strong analytical and quantitative skills.

Preferred qualifications include:

High degree of comfort and fluency with computers and technology and understanding of how technology is applied to business and regulatory problems.

Excellent oral and written communication skills

Detail-oriented with outstanding organizational and project management skills

Ability to work both independently as well as in a small-team environment, and to multi-task with minimal supervision

ACAMS, CFE, CFCS, Series 7, or other FINRA licenses or certifications a plus

Capital Markets

Company Benefits & Perks

Competitive salary, annual performance-based bonus and stock grant

Retirement plan (401K) with company match

Excellent health and welfare benefits including medical, dental, and vision benefits

Wellness screenings and assessments, health coaches and counseling services through Employee Assistance Program (EAP)

Paid time off and a generous parental leave policy

Daily company paid lunch 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 with Udemy

Modern offices with sit/stand desks and multi-monitor setups

Company Overview

Interactive Brokers (IBKR), a subsidiary of publicly-traded Interactive Brokers Group, Inc., based in Greenwich, Connecticut (NASDAQ: IBKR) is a low-cost provider of trade execution and clearing services for active traders, institutional investors, financial advisors and introducing brokers. IBKR’s premier technology provides electronic access to stocks, options, futures, forex, bonds, and funds worldwide from a single IBKR Integrated Investment account. IBKR is one of the largest online brokers by trade volume and is consistently ranked at the top of its field.

Our employees are part of a dynamic, multinational, fast-paced, results-oriented team working to provide our customers with state-of-the-art trading technology, superior execution capabilities, worldwide electronic access, and sophisticated risk management tools.

Our headquarters are in Greenwich, CT, USA. IBKR has offices in the United States, Australia, Canada, China, Estonia, Hong Kong, Hungary, India, Ireland, Japan, Luxembourg,Russia, Singapore, Switzerland and United Kingdom.

IBKR is a member of NYSE, FINRA, and SIPC. Interactive Brokers Group brokerage affiliates are regulated by securities and commodities agencies around the world.

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Company info

Interactive Brokers Group, Inc.
Website : https://www.interactivebrokers.com