Compliance Analyst - Internal Compliance
Job Description & Responsibilities Interactive Brokers is looking for a motivated and talented compliance analyst who is experienced in general brokerage compliance operations. Your key responsibilities
Qualification & Skills
- Conducting tasks related to employee personal trading, including processing employee disclosure of accounts, setting blackout periods and verifying receipt of duplicate account statements.
- Assisting in maintaining the Firm's record of employee gifts, entertainment, and outside business activities.
- Monitoring hardcopy and electronic correspondence reviews to verify that they are being completed.
- Assist as necessary with physical mail processing.
- Performing annual background checks on our FINRA registered personnel and ensuring that regulatory disclosures, such as U4 and U5, are up to date.
- Administer annual compliance task program for employees.
- Conduct periodic reviews of employee registrations.
- Assist in conducting ad-hoc compliance-related projects as they arise.
Company Benefits & Perks
- 1 + years' experience with the SEC, FINRA, CFTC, NFA, an exchange, law firm, or another broker-dealer or FCM.
- Industry registrations is a plus (i.e., a Series 7, Series 24 and/or Series 3 registration).
- Solid academic background.
- High degree of comfort with computers and technology, and understanding of how technology is applied to business and regulatory problems.
- Ability to develop technical compliance solutions with our programming department.
- General knowledge of relevant regulations and ability to execute sound business judgment.
- Good oral and written communication skills.
- Ability to work both independently as well as in a small-team environment, and to multi-task with minimal supervision.
- Competitive salary, annual performance-based bonus and stock grant
- Retirement plan (401K) with company match
- Excellent health and welfare benefits including medical, dental, and vision benefits
- Wellness screenings and assessments, health coaches and counselling services through Employee Assistance Program (EAP)
- Paid time off and a generous parental leave policy
- Daily company paid lunch and a fully stocked kitchen with healthy options for breakfast and snack
- Corporate events including team outings, dinners, volunteer activities and company sports teams
- Education reimbursement and learning opportunities with Udemy
- Modern offices with sit/stand desks and multi-monitor setups
Interactive Brokers ("IBKR"), a subsidiary of publicly-traded Interactive Brokers Group, Inc., based in Greenwich, Connecticut (NASDAQ: IBKR) is a low-cost provider of trade execution and clearing services for active traders, institutional investors, financial advisors and introducing brokers. IBKR's premier technology provides electronic access to stocks, options, futures, forex, bonds, and funds worldwide from a single IBKR Integrated Investment account. IBKR is one of the largest online brokers by trade volume and is consistently ranked at the top of its field.
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.
Our headquarters are in Greenwich, CT, USA. IBKR has offices in the United States, Australia, Canada, China, Estonia, Hong Kong, Hungary, India, Ireland, Japan, Luxembourg,Russia, Singapore, Switzerland and United Kingdom.
IBKR is a member of NYSE, FINRA, and SIPC. Interactive Brokers Group brokerage affiliates are regulated by securities and commodities agencies around the world.
Click HERE to view a short video with a few words from current Interactive Brokers employees.
(If the hyperlink is not active, copy and paste the following URL in your browser: https://www.interactivebrokers.com/en/index.php?f=31899 ) For more information, please visit www.ibkr.com/info