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Compliance Trade Surveillance Analyst (Temp)

Interactive Brokers is looking to hire a Compliance Analyst in our Trade Surveillance team at the Chicago Office. This is a position with excellent growth potential for highly motivated and exceptional performers with the possibility to turn to a permanent role. 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 trading

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

  • 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
  • Modern offices with multi-monitor setups