Regulatory Correspondence Production Analyst

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