Analyst - Financial Advisor Compliance (Temp)

Job Description

Interactive Brokers is seeking a temporary Compliance Analyst to join their Financial Advisor Compliance team in Greenwich, CT. This is a hybrid role, requiring three days in the office and two days remote. The Compliance Analyst will be responsible for conducting surveillance reviews of the firm’s financial advisor clients and platform, assisting with reviewing alerts generated in IBKR360, sending outreach to financial advisors, identifying items for escalation, and writing up review notes and findings.Responsibilities include:

• Conducting surveillance reviews of financial advisor clients and platform.
• Reviewing alerts generated in IBKR360 for potential violations.
• Soliciting additional information from financial advisors.
• Identifying items for escalation to management.
• Writing up review notes and findings.

Requirements include:

• Regulatory experience or experience in internal audit, compliance, legal, accounting, or other control function.
• Strong analytical and quantitative skills.
• Comfort and fluency with computers and technology.
• Outstanding oral and written communication skills.
• Ability to develop compliance solutions.
• Ability to work independently and in a team.
• Experience with Atlassian Confluence/JIRA is preferred.

Interactive Brokers offers:

• Daily company lunch allowance.
• Fully stocked kitchen.
• Corporate events.
• Modern offices with multi-monitor setups.