Compliance Associate

IN-MH-Andheri (E), Mumbai
ID
2017-1674
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 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 657,000 trades per day (Last 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.

 

*For more information about Interactive Brokers visit www.interactivebrokers.com

 

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 Mumbai office. This position has excellent growth potential for highly motivated and exceptional performers.

 

 

Responsibilities

The ideal candidate with some regulatory compliance experience working for an exchange, a regulatory organization, a Broker Dealer (BD) or similar organization. Other acceptable experience would include internal audit, legal, accounting or other control function of a financial services firm or regulator.

  • Handled Compliance department of a large/medium sized broking house.
  • Review client documents for account approvals and enquiries
  • Obtain mandatory documents and reports as per KYC requirements
  • Perform necessary checks (3rd parties and regulatory website etc.)
  • Investigating factual and regulatory rule background behind client trading and financial activity
  • Creating, reviewing and following up on surveillance reports of financial and trading activity
  • Assisting with Anti-Money Laundering Program
  • Updating policies and procedures and verifying implementation.
  • Interacting with various departments within the organization to meet deadlines.

Qualifications

  • Graduate degree is required. Acceptable majors include: Accounting or Legal
  • Good knowledge of KYC compliance.
  • Good English communication oral and written skills.
  • Good problem solving skills
  • Previous experience in the financial industry is required.
  • High proficiency with desktop applications and MS Office suite of products is required.
  • Must be comfortable working in an automated, hands-on environment.

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