Junior Compliance Analyst

  • Competitive
  • Washington D.C., DC, USA Washington D.C. DC US
  • Permanent, Full time
  • Interactive Brokers
  • 18 Sep 18 2018-09-18

Junior Compliance Analyst

Company Overview

Interactive Brokers Group, Inc. (NASDAQ GS: IBKR); 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 120 market centers in 26 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 797,000 trades per day.¹ 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.
 
¹Figures as of June 30, 2018.

Job Description and Responsibilities

- Assist senior staff and clients in preparing their SEC and state registration filings, including Form ADV filings.
- Interact with the SEC, state regulatory agencies and other regulatory bodies in connection with efforts to get clients registered as investment advisers.
- Assist senior staff and clients in drafting their compliance manuals, codes of ethics, and other written materials for use by clients to help them meet their compliance obligations and/or respond to regulatory inquiries.
- Draft web content and periodic releases on compliance issues of interest to investment advisors.
- Maintaining internal calendars and other recordkeeping tasks.
- Work on and manage specialized projects as necessary

Qualifications

- Bachelor's degree (we would consider students working toward a degree).
- Anywhere from 0-3 years of experience in a business or office environment.
- Solid academic background.
- Strong attention to detail.
- Outstanding oral and written communication skills.