Compliance Trade Surveillance Analyst
Temp
Posted on 6/16/2023
INACTIVE
Interactive Brokers

1,001-5,000 employees

Global online trading platform for diverse assets
Company Overview
Interactive Brokers Group, a leader in the financial services industry, has a proven track record of technical innovation, demonstrated by its 45-year history of building advanced trading technology. The company's competitive advantage lies in its ability to provide a single unified platform for global trading in multiple asset classes and currencies, backed by robust market data access 24/6. Its strong corporate culture is centered around creating technology to provide liquidity on better terms, competing on price, speed, size, and diversity of global products, which has led to its recognition as Barron's #1 Best Online Broker for six consecutive years.
Fintech

Company Stage

N/A

Total Funding

N/A

Founded

1977

Headquarters

Greenwich, Connecticut

Growth & Insights
Headcount

6 month growth

2%

1 year growth

6%

2 year growth

21%
Locations
Chicago, IL, USA
Experience Level
Entry
Junior
Mid
Senior
Expert
Desired Skills
Communications
Data Analysis
CategoriesNew
Legal & Compliance
Requirements
  • 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
Responsibilities
  • 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
Desired Qualifications
  • 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