Senior Analyst - Compliance

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 the office / 2 days remote).

About your team: 

Interactive Brokers is looking to hire a Senior Analyst - Compliance in our office in Chicago, IL. This position has excellent growth potential for highly motivated and exceptional performers. Senior Analysts will report to a Compliance Manager in our Chicago office and help ensure the firm complies with the Bank Secrecy Act, USA PATRIOT Act, anti-terrorist financing, sanctions, industry AML, and securities laws and regulations. This is a hybrid position, and applicants should expect to be in the office three days a week, with Monday as a mandatory day in the office.

Responsibilities:

• Conduct ongoing review analysis of clients’ KYC profile and transactions in accordance with established procedures in line with IBKR policy
• Perform negative news and public domain searches on high-risk clients and related parties in different categories of EDD
• Write comprehensive risk assessments of our highest risk clients
• Interact with internal stakeholders to complete reviews and provide efficiency for clients
• Maintain accurate tracking of assignments and request for documentation to ensure appropriate deadlines are met
• Escalate and investigate issues discovered during review
• Advise management by collecting, analyzing, and summarizing data and trends
• Contribute to streamlining current processes and identifying areas for improvement
• Assist in drafting, training, and maintenance of procedures and other documents
• Act as a subject matter expert for CAFFI reviews

Qualifications:

A bachelor’s degree or higher is the preferred education level. Preferred areas of study include accounting, criminal justice, finance, law, or similar areas, with strong analytical and quantitative skills. The ideal candidate will also have some regulatory compliance experience working for an exchange, a regulatory organization, a Broker Dealer (BD), a Futures Commission Merchant (FCM), or a similar organization. Alternatively, experience in internal audit, legal, accounting, or other control functions of a financial services firm or regulator would be beneficial. Candidates must be focused, adaptable, collaborative, and have strong time management and issue-spotting skills to thrive and succeed in the work environment.

• High degree of comfort and fluency with computers and technology, and understanding of how technology is applied to business and regulatory problems.
• Proficient in Excel, Word, and PowerPoint
• 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 multitask with minimal supervision
• ACAMS Certification

Preferred Qualifications:

The ideal candidate for a senior analyst position will have all the qualifications above and some of the preferred qualifications below:

• Prior experience conducting compliance reviews of broker-dealers, mutual funds, or financial advisors
• CFE, CFCS, Series 7, or other FINRA licenses or certifications are a plus
• Capital Markets
• Advanced degree in finance, law, or criminal justice

 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