Junior Compliance Associate - Securities/Commodities

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

Junior Compliance Associate - Securities/Commodities

Overview :

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.

Responsibilities :

  • 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


Qualifications :

  • 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.