Regulatory Correspondence Production Analyst

1 Week ago • 2-3 Years

Job Summary

Job Description

The Regulatory Correspondence Production Analyst will gather client account records, prepare response letters, and coordinate with other compliance analysts for regulatory investigations. They will also identify areas for improvement and streamline processes. The ideal candidate should have experience in internal audit, legal, or financial services. This role is hybrid with 3 days in the office and 2 days remote.
Must have:
  • Gather client records and prepare response letters to inquiries.
  • Coordinate with analysts to complete regulatory investigations.
  • Excellent verbal and written communication skills.
  • Ability to multi-task with minimal supervision.

Job Details

Company Overview

Interactive Brokers Group, Inc. (Nasdaq: IBKR) is a global financial services company headquartered in Greenwich, CT, USA, with offices in over 15 countries. We have been at the forefront of financial innovation for over four decades, known for our cutting-edge technology and client commitment.

IBKR affiliates provide global electronic brokerage services around the clock on stocks, options, futures, currencies, bonds, and funds to clients in over 200 countries and territories. We serve individual investors and institutions, including financial advisors, hedge funds and introducing brokers. Our advanced technology, competitive pricing, and global market help our clients to make the most of their investments.

Barron's has recognized Interactive Brokers as the #1 online broker for six consecutive years. Join our dynamic, multi-national team and be a part of a company that simplifies and enhances financial opportunities using state-of-the-art technology.

This is a hybrid role (3 days in office / 2 days remote).

IBKR seeks to hire a Regulatory Correspondence Production Analyst in our Chicago, Illinois, office. This position offers excellent growth potential for highly motivated and exceptional performers. This role will report to a Compliance Manager and help ensure the firm complies with the Bank Secrecy Act, and USA PATRIOT Act, as well as anti-terrorism financing, sanctions, anti-money laundering, and securities laws and regulations

Responsibilities: 

  • Gather client account records and other responsive documents and prepare response letters to law enforcement and regulatory inquiries
  • Coordinate with other compliance analysts to help complete regulatory investigations
  • Identify areas for improvement and streamline current processes and workflows
  • Draft and update procedures, as necessary

The ideal candidate will have some experience (preferably 2-3 years) in an internal audit, legal, accounting, or other financial services firm or regulatory control function. We may also consider applicants who are project assistants or paralegals with experience working in a legal department or law firm, as well as candidates with excellent bachelor ’s-level educational credentials.

Qualifications and Skills: 

  • Bachelor’s degree
  • High degree of fluency with and understanding of technology’s application to business and regulatory problems
  • Excellent verbal and written communication skills
  • Detail-oriented with outstanding organizational and project management skills
  • Ability to work both independently within a small-team environment and to multi-task with minimal supervision

 To be successful in this position, you will have the following:

  • Self-motivated and able to handle tasks with minimal supervision.
  • Superb analytical and problem-solving skills.
  • Excellent collaboration and communication (Verbal and written) skills.
  • Outstanding organizational and time management skills.

Company Benefits & Perks

  • Competitive salary, annual performance-based bonus and stock grant
  • Retirement plan 401(k) with a competitive company match
  • Excellent health and wellness benefits, including medical, dental, and vision benefits, and a company-paid medical healthcare premium.
  • Wellness screenings and assessments, health coaches and counseling services through an Employee Assistance Program (EAP)
  • Paid time off and a generous parental leave policy
  • Daily company lunch allowance provided, and a fully stocked kitchen with healthy options for breakfast and snack
  • Corporate events, including team outings, dinners, volunteer activities and company sports teams
  • Education reimbursement and learning opportunities
  • Modern offices with multi-monitor setups

Similar Jobs

yellow brick games - Game Designer

yellow brick games

(Remote)
1 Week ago
lifechruh - Staff Software Engineer

lifechruh

Edmond, Oklahoma, United States (On-Site)
9 Months ago
NVIDIA - Senior DFT Engineer

NVIDIA

Santa Clara, California, United States (Hybrid)
1 Month ago
Lionsgate Games - Assistant, Global Distribution

Lionsgate Games

Santa Monica, California, United States (On-Site)
1 Month ago
Framestore - FREELANCE: FLAME - CHICAGO

Framestore

Chicago, Illinois, United States (On-Site)
11 Months ago

Get notifed when new similar jobs are uploaded

Similar Skill Jobs

PlayStation Global - Staff Software Engineer - Android / UI

PlayStation Global

California, United States (On-Site)
1 Month ago
Tesla - Sales Supervisor

Tesla

Grand Est, France (On-Site)
3 Months ago
Light Speed Studios - Lead Gameplay Engineer

Light Speed Studios

California, United States (On-Site)
4 Weeks ago
Google - ASIC Design Verification Engineer

Google

Madison, Wisconsin, United States (On-Site)
4 Weeks ago
Microsoft - Technical Support Engineer

Microsoft

(Hybrid)
2 Weeks ago
Netflix - Associate, Ads Revenue & Yield Analytics

Netflix

Los Angeles, California, United States (On-Site)
4 Weeks ago
Scout - Specialist, Function Integration & Software Planning

Scout

Novi, Michigan, United States (On-Site)
2 Weeks ago
Enverus - Residential Examiner

Enverus

(Remote)
2 Weeks ago
Nubank - Mobile Security Engineer

Nubank

(Remote)
1 Week ago
Playrix - Customer Support Representative

Playrix

Ireland (Remote)
4 Months ago

Get notifed when new similar jobs are uploaded

Jobs in Chicago, Illinois, United States

Epic Games - Senior Technical Designer

Epic Games

Cary, North Carolina, United States (On-Site)
3 Weeks ago
Meta - Software Engineering Manager, Product

Meta

Sunnyvale, California, United States (On-Site)
6 Months ago
Interactive Brokers - Senior DevOps/Software Engineer

Interactive Brokers

Greenwich, Connecticut, United States (Hybrid)
7 Months ago
TiMi Studio Group - Principal Cinematic Artist

TiMi Studio Group

Bellevue, Washington, United States (On-Site)
5 Months ago
Valve corporation - Level Designer

Valve corporation

Bellevue, Washington, United States (On-Site)
6 Months ago
ByteDance - Video Analysis and Quality Algorithm Engineer - 2023 Start (MS)

ByteDance

San Diego, California, United States (On-Site)
6 Months ago
Illumination - Sr. Campaign Manager, Marketing

Illumination

Santa Monica, California, United States (On-Site)
1 Month ago
Scale AI - Field Manager

Scale AI

San Francisco, California, United States (On-Site)
2 Weeks ago
UPF Industries  - General Labor

UPF Industries

Ringgold, Georgia, United States (On-Site)
1 Week ago
The Walt Disney Company - Executive Director, Pricing & Planning

The Walt Disney Company

New York, New York, United States (On-Site)
3 Weeks ago

Get notifed when new similar jobs are uploaded

Similar Category Jobs

Looks like we're out of matches

Set up an alert and we'll send you similar jobs the moment they appear!

About The Company

Washington, District Of Columbia, United States (Hybrid)

Washington, District Of Columbia, United States (Hybrid)

Chicago, Illinois, United States (Hybrid)

Kowloon, Hong Kong (Hybrid)

Kowloon, Hong Kong (On-Site)

Greenwich, Connecticut, United States (Hybrid)

Chicago, Illinois, United States (Hybrid)

Greenwich, Connecticut, United States (Hybrid)

View All Jobs

Get notified when new jobs are added by Interactive Brokers

Level Up Your Career in Game Development!

Transform Your Passion into Profession with Our Comprehensive Courses for Aspiring Game Developers.

Job Common Plug