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Interactive Brokers LLC has an immediate need for a Junior Level Compliance Specialist at our Chicago office to respond to regulatory inquirires. This is an entry-level position with excellent growth potential for highly motivated and exceptional performers. The ideal candidate will have some regulatory compliance experience working for an exchange, a regulatory organization, a Broker Dealer (BD), a Futures Commission Merchant (FCM) or similar organization. Alternatively, experience in internal audit, legal, accounting or other control function of a financial services firm or regulator would be beneficial.
We will also consider applicants with excellent Bachelor's-level educational credentials who have some background in business, 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; preferred 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.
OTHER CRITERIA: The employer will not sponsor an employment visa for this position.
Interactive Brokers ("IBKR"), a subsidiary of publicly-traded Interactive Brokers Group, Inc., based in Greenwich, Connecticut (NASDAQ: IBKR) is a low-cost provider of trade execution and clearing services for active traders, institutional investors, financial advisors and introducing brokers. IBKR's premier technology provides electronic access to stocks, options, futures, forex, bonds, and funds worldwide from a single IBKR Integrated Investment account. IBKR is one of the largest online brokers by trade volume and is consistently ranked at the top of its field. Our employees are 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. Our headquarters are in Greenwich, CT, USA. IBKR has offices in the United States, Canada, the United Kingdom, Switzerland, Hungary, Estonia, Russia, India, Hong Kong, China, Japan and Australia. IBKR is a member of NYSE, FINRA, and SIPC. Interactive Brokers Group brokerage affiliates are regulated by securities and commodities agencies around the world. Click HERE to view a short video with a few words from current Interactive Brokers employees. For more information, please visit www.ibkr.com/info