Junior Compliance Analyst

  • Competitive
  • Chicago, IL, USA Chicago IL US
  • Permanent, Full time
  • Interactive Brokers
  • 15 Aug 18 2018-08-15

Junior Compliance Analyst

Company Overview

Interactive Brokers LLC, a subsidiary of Interactive Brokers Group, Inc. (NASDAQ: 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 over 800,000 trades per day.[i]  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.
[i] Figures as of  January 1, 2018. Information on the company can be found at www.interactivebrokers.com
Click the link to view a short video with a few words from current Interactive Brokers employees: https://www.interactivebrokers.com/en/index.php?f=31899

Job Description and Responsibilities

Interactive Brokers LLC, has an immediate need for a Junior Compliance Analyst at 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.
- 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.


- 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.