Analyst - Financial Advisor Compliance (Temp)

Interactive Brokers Group • Greenwich, CT

166d • Hybrid

About The Position

Interactive Brokers is looking to hire two temporary Compliance Analysts in our Greenwich, IL office for a 6-month assignment. The Compliance Analysts will work independently and quickly adapt to a fast-paced environment. The analysts will report to the Financial Advisor ('FA') Compliance Team Lead and assist with various initiatives relating to Interactive Brokers Financial Advisor program and clients.

Requirements

• Strong dose of compliance curiosity and some regulatory experience working for an exchange, a regulatory organization, a Broker Dealer, a Futures Commission Merchant or a similar organization.
• Experience in internal audit, compliance, legal, accounting or other control function of a financial services firm or regulator is beneficial.
• Excellent Bachelor's-level educational credentials with some background in law, accounting, data analytics or similar areas with strong analytical and quantitative skills.
• High degree of comfort and fluency with computers and technology and an understanding of how technology is applied to business and regulatory problems.
• Outstanding oral and written communication skills.
• Ability to develop compliance solutions that satisfy relevant regulations while executing sound business judgment.
• Ability to work both independently as well as in a small-team environment and to multi-task with minimal supervision.

Nice To Haves

• Experience working directly with programmers and/or familiarity with scripting or query language.
• Experience with Atlassian Confluence/JIRA.

Responsibilities

• Responsible for conducting surveillance reviews pertaining to the firm's financial advisor clients and platform.
• Assisting with reviewing alerts generated in IBKR360 to look for potential violations with a focus on advisors charging clients excessive or unexplainably high fees for services provided.
• Sending outreach to financial advisors to solicit additional information.
• Identifying items for escalation to management.
• Writing up review notes and findings for manager review.

Benefits

• Daily company lunch allowance provided, and a fully stocked kitchen with healthy options for breakfast and snack.
• Corporate events including team outings, dinners, volunteer activities and company sports teams.
• Modern offices with multi-monitor setups.

What This Job Offers

• Industry: Securities, Commodity Contracts, and Other Financial Investments and Related Activities
• Education Level: Bachelor's degree