Analyst - Financial Advisor Compliance

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

Interactive Brokers is looking to hire a Compliance Analyst at the Chicago or Greenwich Office. This position offers excellent growth potential for highly motivated and exceptional performers. The Compliance Analyst will report to the Financial Advisor ("FA") Compliance Team Lead and assist with various initiatives relating to Interactive Brokers' Financial Advisor program and clients.

Responsibilities: 

• Supporting implementation of the firm's financial advisor compliance program
• Responsible for conducting surveillance reviews of the firm's financial advisor clients and platform
• Verifying that financial advisor clients maintain current and accurate registrations 
• Conducting ad hoc investigations relating to financial advisor activity, including trade activity, registrations, etc
• Assisting with response to regulatory inquiries about 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 about financial advisor regulations
• Identifying items for escalation to management, including but not limited to AML issues and potential disciplinary or disclosure events involving a financial advisor client

Qualifications & Skills: 

• Two to four years of professional experience working in a legal or compliance-related role, including risk functions or internal audit
• 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 a similar organization. Alternatively, experience in internal auditing, compliance, 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 's-level educational credentials who have some background in law, accounting, data analytics, or similar areas and strong analytical and quantitative skills.
• High 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.

 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