Junior Compliance Associate - Securities/Commodities

US-IL-Chicago
ID
2015-1416
Department
Compliance

Overview

Interactive Brokers 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 100 market centers in 25 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 657,000 trades per day (First Quarter 2017 results). At Interactive Brokers, you will be 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.

 

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.

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