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