Client Outreach Senior Analyst

Interactive Brokers•Chicago, IL

11d•$90,000 - $110,000•Hybrid

About The Position

Interactive Brokers Group, Inc. (Nasdaq: IBKR) is a global financial services company headquartered in Greenwich, CT, USA, with offices in over 15 countries. We have been at the forefront of financial innovation for over four decades, known for our cutting-edge technology and client commitment. IBKR affiliates provide global electronic brokerage services around the clock on stocks, options, futures, currencies, bonds, and funds to clients in over 200 countries and territories. We serve individual investors and institutions, including financial advisors, hedge funds and introducing brokers. Our advanced technology, competitive pricing, and global market help our clients to make the most of their investments. Barron's has recognized Interactive Brokers as the #1 online broker for six consecutive years. Join our dynamic, multi-national team and be a part of a company that simplifies and enhances financial opportunities using state-of-the-art technology. This is Hybrid role (3 days in office /2 days remote) Interactive Brokers is looking for Client Outreach Sr. Analyst, this is a full-time individual contributor position that is multifaceted, with a focus on executing four primary client-related workflows. The position encompasses compliance-related operational processes including processing accounts flagged for closure according to established guidelines and procedures, managing Internal Account Transfer requests in coordination with other IB entities, monitoring assigned Compliance CIM Queues to properly route incoming communications, and tracking assigned Compliance Email boxes. The position carries out established workflows regarding compliance operations, client services, and facilitating client account changes.

Requirements

5 years’ experience with the SEC, FINRA, CFTC, NFA, an exchange or another broker-dealer or FCM
Appropriately registered compliance officer
Solid academic background with strong quantitative/analytical skills
Experience with FINRA and NFA rules concerning broker-dealer and FCM communications with the public, including the requirements for filing communications for regulatory approval, would be highly preferred
Prior experience in a highly automated environment and/or a high degree of comfort and fluency with computers and technology, as well as understanding how technology is applied to business and regulatory issues
Outstanding oral and written communication skills
Ability to develop compliance solutions that satisfy relevant regulations while executing sound business judgment
Ability to work in a small-team environment, work independently, and to multi-task with minimal supervision
Self-motivated and able to handle tasks with minimal supervision.
Superb analytical and problem-solving skills.
Excellent collaboration and communication (Verbal and written) skills.
Outstanding organizational and time management skills.

Responsibilities

Execute daily bulk updates to IBKR360 Outreach Alerts
Implement Account Closures and process ER's according to established procedures
Apply account restrictions and update various IBKR systems to reflect client account changes
Process the final compliance review and approval for internal account transfers, ensuring appropriate documentation and approvals are completed
Track and maintain records of accounts that have been or are designated to be closed
Monitor daily assigned Compliance CIM Queues (CMPL) and transfer CIM tickets to the appropriate IBKR staff member
Execute account "freeze" and "unfreeze" requests from cashiering, client services, and other groups (serving as primary backup)
Facilitate weekly bulk post restriction steps for European compliance entities (outside of monthly bulk restriction process)
Distribute bi-monthly report of aged CIM tickets to global compliance managers
Manage client outreach efforts between Chicago and Mumbai teams
Serve as primary point of contact for the Hedge Fund Relationship Management Team, ensuring prompt and effective client communication resolution regarding compliance issues
Act as sales liaison for high value client issue resolution
Coordinate with global compliance units to resolve client restriction inquiries
Maintain the Account Closure desktop procedures
Update monthly account closure tracking metrics
Proactively identify and escalate potential client account disruptions

Benefits

Competitive salary, annual performance-based bonus and stock grant
Retirement plan 401(k) with competitive company match
Excellent health and wellness benefits, including medical, dental, and vision benefits.
Company paid medical healthcare premium.
Wellness screenings and assessments, health coaches and counseling services through an Employee Assistance Program (EAP)
Paid time off and a generous parental leave policy
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
Education reimbursement and learning opportunities
Modern offices with multi-monitor setups