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Interactive Brokers is a direct access electronic broker catering to the needs of professional and frequent traders, institutional investors, financial advisors, and introducing brokers. Our clients have access to more than 100 market centers in 25 countries from a single account. We are the lowest cost provider of brokerage services and the largest U.S. electronic broker based on daily average revenue trades executing 657,000 trades per day (First Quarter 2017 results). At Interactive Brokers, you will be part of a dynamic, multinational, fast paced, results oriented team working to provide our customers with state-of-the-art trading technology, superior execution capabilities, worldwide electronic access, and sophisticated risk management tools.
Interactive Brokers , a Global Securities and Commodities business leader and one of the largest financial services firms in the U.S. has an immediate need for a Compliance Associate in our Chicago office. This position has excellent growth potential for highly motivated and exceptional performers.
The ideal candidate some regulatory compliance experience working for an exchange, a regulatory organization, a Broker Dealer (BD), a Futures Commission Merchant (FCM) or similar organization. Other acceptable experience would include internal audit, legal, accounting or other control function of a financial services firm or regulator.
In the absence of direct industry experience, we will also consider applicants with excellent Bachelor's-level educational credentials who have some background in accounting, computer science or similar areas with strong analytical and quantitative skills.
Investigating factual and regulatory rule background behind client trading and financial activity
Preparing and drafting regulatory correspondence
Creating, reviewing and following up on surveillance reports of financial and trading activity
Preparing regulatory filings
Assisting with Anti-Money Laundering Program
Developing knowledge about the firm's computer systems and trading processes
Must have a college degree with strong grades; acceptable majors include: Finance, Accounting, Computer Science or Information Systems
Must be a detail-oriented person
Have the ability to understand regulatory rules and client financial activity and trading strategies.
High proficiency with desktop applications and MS Office suite of products is required.
Knowledge of UNIX, SQL, Perl is a plus.
Must be comfortable working in an automated, hands-on environment.
Excellent written and oral communication skill sets are important prerequisites.