Analyst – Financial Advisor Compliance
Posted on 3/22/2023
Chicago, IL, USA
Experience Level
  • 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
  • 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
Interactive Brokers

1,001-5,000 employees

Multinational brokerage firm
Company Overview
IBKR is on a mission to transform how millions of people trade around the globe. The company operates the largest electronic trading platform in the US by number of daily active users.
  • Competitive Pay with discretionary bonus packages which include company stock grants
  • Comprehensive Health Plans that include extensive Vision, Dental and Prescription coverage
  • Daily Lunch Allowance
  • 401K Retirement Savings Plan (generous company match)
  • Wellness Incentives
  • Flexible Spending Accounts
  • Paid Personal Time and Sick Leave