Interactive Brokers
Analyst - Quality Assurance
Interactive Brokers, Chicago, Illinois, United States, 60290
About INTERACTIVE BROKERS!
This is a hybrid role (three days in the office/two days remote).
Interactive Brokers Group has been consistently at the forefront of trading innovation, starting with the invention of the first floor-based handheld computer in 1983. We pride ourselves on being primarily a technology company and challenging the status quo. We push boundaries to offer our clients the best trading platform with the most sophisticated features at the lowest cost. Software development is the lifeblood of our firm, and it shows in our stellar brokerage platform. Interactive Brokers is regularly recognized as a leader in the financial services industry.
Interactive Brokers is looking to hire a full-time Quality Assurance Compliance Analyst at the Chicago office. This position has excellent growth potential for highly motivated and exceptional performers. Analysts will report to a Quality Assurance Compliance Manager in our Chicago office and will assist with ensuring the firm complies with the Bank Secrecy Act, the USA PATRIOT Act, anti-terrorist financing, sanctions, industry AML, and securities laws and regulations.
Responsibilities:Conducting quality assurance reviews of account activity, including trading activity, deposit and withdrawal activity, and public domain activity, to determine if the activity is in line with IBKR policyAdvising management by collecting, analyzing, and summarizing data and trendsPerform quality assurance on 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 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. Absent direct industry experience, we will also consider applicants with excellent bachelor-level educational credentials who have some background in law, accounting, data analytics, or similar areas and strong analytical and quantitative skills. Candidates must be focused, adaptable, collaborative and have strong time management skills to thrive and succeed in Interactive Brokers' work environment.
Qualifications & Skills:
2+ years' work experience in Trade SurveillanceHigh comfort and fluency with computers and technology and understanding of how technology is applied to business and regulatory problems.Excellent oral and written communication skillsDetail-oriented with outstanding organizational and project management skillsAbility to work both independently as well as in a small-team environment and to multi-task with minimal supervisionACAMS, CFE, CFCS, Series 7, or other FINRA licenses or certifications a plusCapital MarketsTo 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) skillsOutstanding organizational and time management skillsCompany Benefits & Perks
Competitive salary, annual performance-based bonus and stock grantRetirement plan 401(k) with a competitive company matchExcellent health and wellness benefits, including medical, dental, and vision benefits, and a company-paid medical healthcare premiumWellness screenings and assessments, health coaches and counseling services through an Employee Assistance Program (EAP)Paid time off and a generous parental leave policyDaily company lunch allowance provided, and a fully stocked kitchen with healthy options for breakfast and snackCorporate events, including team outings, dinners, volunteer activities and company sports teamsEducation reimbursement and learning opportunitiesModern offices with multi-monitor setups
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 (three days in the office/two days remote).
Interactive Brokers Group has been consistently at the forefront of trading innovation, starting with the invention of the first floor-based handheld computer in 1983. We pride ourselves on being primarily a technology company and challenging the status quo. We push boundaries to offer our clients the best trading platform with the most sophisticated features at the lowest cost. Software development is the lifeblood of our firm, and it shows in our stellar brokerage platform. Interactive Brokers is regularly recognized as a leader in the financial services industry.
Interactive Brokers is looking to hire a full-time Quality Assurance Compliance Analyst at the Chicago office. This position has excellent growth potential for highly motivated and exceptional performers. Analysts will report to a Quality Assurance Compliance Manager in our Chicago office and will assist with ensuring the firm complies with the Bank Secrecy Act, the USA PATRIOT Act, anti-terrorist financing, sanctions, industry AML, and securities laws and regulations.
Responsibilities:Conducting quality assurance reviews of account activity, including trading activity, deposit and withdrawal activity, and public domain activity, to determine if the activity is in line with IBKR policyAdvising management by collecting, analyzing, and summarizing data and trendsPerform quality assurance on 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 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. Absent direct industry experience, we will also consider applicants with excellent bachelor-level educational credentials who have some background in law, accounting, data analytics, or similar areas and strong analytical and quantitative skills. Candidates must be focused, adaptable, collaborative and have strong time management skills to thrive and succeed in Interactive Brokers' work environment.
Qualifications & Skills:
2+ years' work experience in Trade SurveillanceHigh comfort and fluency with computers and technology and understanding of how technology is applied to business and regulatory problems.Excellent oral and written communication skillsDetail-oriented with outstanding organizational and project management skillsAbility to work both independently as well as in a small-team environment and to multi-task with minimal supervisionACAMS, CFE, CFCS, Series 7, or other FINRA licenses or certifications a plusCapital MarketsTo 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) skillsOutstanding organizational and time management skillsCompany Benefits & Perks
Competitive salary, annual performance-based bonus and stock grantRetirement plan 401(k) with a competitive company matchExcellent health and wellness benefits, including medical, dental, and vision benefits, and a company-paid medical healthcare premiumWellness screenings and assessments, health coaches and counseling services through an Employee Assistance Program (EAP)Paid time off and a generous parental leave policyDaily company lunch allowance provided, and a fully stocked kitchen with healthy options for breakfast and snackCorporate events, including team outings, dinners, volunteer activities and company sports teamsEducation reimbursement and learning opportunitiesModern offices with multi-monitor setups
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.