Trade Surveillance Analyst

2 Months ago • 1-3 Years

Job Summary

Job Description

The Trade Surveillance Analyst will be responsible for conducting account activity reviews, analyzing data and trends, preparing regulatory filings, streamlining processes, and reviewing trading data for suspicious activity. This hybrid role in Chicago, Illinois, requires a candidate with strong product knowledge, excellent communication and organizational skills, and the ability to work independently and as part of a team. The analyst will work under the Compliance Manager to ensure compliance with various financial regulations and IBKR policies.
Must have:
  • Conduct account activity reviews and identify policy violations.
  • Analyze and summarize data and trends.
  • Prepare regulatory filings.
  • Review trading data for suspicious activity.
  • Strong knowledge of equity or derivative markets.
  • Excellent oral and written communication skills.
  • Detail-oriented with outstanding organizational skills.
Good to have:
  • ACAMS, CFE, CFCS, Series 7, or FINRA certifications
Perks:
  • Competitive salary and bonus.
  • Retirement plan 401(k) with company match.
  • Excellent health and wellness benefits.
  • Paid time off and parental leave.
  • Daily company lunch allowance.
  • Corporate events and team outings.
  • Education reimbursement and learning opportunities.
  • Modern offices with multi-monitor setups.

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 the office/2 days remote).

Interactive Brokers seeks Trade Surveillance Analysts for its Chicago, Illinois, office. This entry-level position has excellent growth potential for highly motivated and exceptional performers. Analysts will report to a Compliance Manager and help ensure the firm complies with the Bank Secrecy Act, USA PATRIOT Act, anti-terrorist financing, sanctions, industry anti-money laundering, and securities laws and regulations.

Responsibilities

  • Conducting account activity reviews, including trading, deposit, withdrawal, and public domain activity, to determine if the activity aligns with IBKR policy.
  • Advising management by collecting, analyzing, and summarizing data and trends. 
  • Preparing regulatory filings.
  • Contribute to streamlining current processes and identifying areas for improvement.
  • Review trading data for suspicious activity or patterns of unusual trading.

The ideal candidate will have 1-3 years of 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. Absent direct industry experience, we will also consider applicants with excellent bachelor-level educational credentials, some background in finance, economics, data analytics, or similar areas, and strong analytical and quantitative skills.

Qualifications, Skills, Attributes: 

  • Strong product knowledge of equity or exchange-traded derivative markets, or, preferably, both
  • High degree of comfort and fluency with computers and technology, and understanding of how technology is applied to business and regulatory problems
  • 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, CFE, CFCS, Series 7, or other FINRA licenses or certifications are a plus

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 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 snacks
  • Corporate events, including team outings, dinners, volunteer activities and company sports teams
  • Education reimbursement and learning opportunities
  • Modern offices with multi-monitor setups

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About The Company

Interactive Brokers Group, Inc. (NASDAQ: "IBKR") is a direct access electronic broker catering to the needs of professional and frequent traders, institutional investors, financial advisers, and introducing brokers. For over 40 years, Interactive Brokers has been the pioneer of the electronic trading revolution. We rapidly scaled from a small U.S. options market-maker into a sizable global trading firm by leveraging the power of technology and automation. We are committed to delivering value through technological innovation and providing our clients with unprecedented access to global markets at the lowest cost.

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