Junior Compliance Analyst

  • Competitive
  • Chicago, IL, USA
  • Permanent, Full time
  • Interactive Brokers
  • 29 Sep 16

Junior Compliance Analyst

Overview :

Interactive Brokers Group LLC, a Global Securities and Commodities business leader and top-16 US Broker-Dealer (BD) / Futures Commission Merchant (FCM) has an immediate need for an Entry Level Junior Compliance Analyst in our Chicago office.

In the absence of direct industry experience, we will also consider applicants with excellent Bachelor's-level educational credentials who have some background in law, accounting, computer science or similar areas with strong analytical and quantitative skills.

Responsibilities :

  • Prepare Surveillance Report review and memorialization
  • Regulatory Filings
  • Assist with Anti Money Laundering Program
  • Conduct Fraud Monitoring
  • Develop knowledge about firm processes
  • Advise management by collecting, analyzing, and summarizing data and trends.


Qualifications :

  • College degree is required. Acceptable majors include: Finance, Accounting, or Information Systems.
  • 0- 2 years experience
  • Knowledge of the SRO, Broker Dealer and/or FCM environment, and equities and equity-linked products is key.
  • High proficiency with desktop applications and MS Office suite of products is required.
  • Must be comfortable working in an automated, hands-on environment.
  • Excellent written and oral communication skill sets are important prerequisites.
Additional preferred Skills:
  • Knowledge of UNIX, SQL, Perl is a plus
  • Experience with an SRO, Broker Dealer or FCM,
  • Experience within a Compliance Department, internal audit, legal or a control function of a SRO, BD or FCM.
  • Trading background with the ability to understand and breakdown complex trading strategies.