• Junior Compliance Specialist- Securities/Commodities Regulatory Response Team

    Job Locations US-IL-Chicago
  • 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 Level Compliance Specialist at our Chicago office to respond to regulatory inquirires. This is an entry-level position with excellent growth potential for highly motivated and exceptional performers.
    The ideal candidate will have some regulatory compliance experience working for an exchange, a regulatory organization, a Broker Dealer (BD), a Futures Commission Merchant (FCM) or similar organization. Alternatively, experience in  internal audit, legal, accounting or other control function of a financial services firm or regulator would be beneficial. 
    We will also consider applicants with excellent Bachelor’s-level educational credentials who have some background in business, accounting, computer science or similar areas with strong analytical and quantitative skills.
    - 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


    - Must have a college degree with strong grades; preferred 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


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