Analyst - Financial Advisor Compliance (Temp)

Job Description

Interactive Brokers is seeking two temporary Compliance Analysts for a six-month assignment in their Chicago, IL, office. The Compliance Analysts 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. This is a hybrid role, requiring three days in the office and two days remote.

Responsibilities:

• 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.

Requirements:

• Strong compliance curiosity and 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, 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 will also be considered.
• A high degree of comfort and fluency with computers and technology and an understanding of how technology is applied to business and regulatory problems.
• Experience working directly with programmers and/or familiarity with scripting or query language is 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 as well as in a small-team environment and to multi-task with minimal supervision.
• Experience with Atlassian Confluence/JIRA is preferred.

What Interactive Brokers Offers:

• Daily company lunch allowance provided.
• 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.