Analyst – Financial Advisor Compliance
Posted on 3/22/2023
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
Requirements
  • The ideal candidate should possess a strong dose of compliance-curiosity, and have some regulatory experience working for an exchange, a regulatory organization, a Broker Dealer, a Futures Commission Merchant or similar organization. Alternatively, experience in internal audit, compliance, 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
  • High degree of comfort and fluency with computers and technology and 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
Responsibilities
  • Supporting implementation of the firm's financial advisor compliance program
  • Responsible for conducting surveillance reviews pertaining to the firm's financial advisor clients and platform
  • Conducting ad hoc investigations relating to financial advisor activity, including trade activity, registrations, etc
  • Assisting with response to regulatory inquiries pertaining to the firm's financial advisor clients and platform
  • Coordinating with programmers and other personnel on systems maintenance and enhancements of the firm's financial advisor platform
  • Identifying opportunities to streamline current processes and identifying areas for improvement
  • Assisting with reviewing and updating policies and procedures pertaining to financial advisor regulations
  • Reviewing registered Financial Advisor accounts to ensure that the FA maintains a current registration and that the FA's registration information is accurately reflected in internal systems
  • Identifying items for escalation to management, including but not limited to AML issues, and potential disciplinary or disclosure events involving an Financial Advisor