Quality Assurance Compliance Analyst Trade Surveillance

Profile

Interactive Brokers is looking to hire a full-time remote Quality Assurance Compliance Analyst who resides in New York, Illinois, New Jersey, Massachusetts, Florida, Connecticut or California. This is a position with excellent growth potential for highly motivated and exceptional performers. Analysts will report to a Quality Assurance Compliance Manager in our Chicago Office and will assist with ensuring the firm complies with Bank Secrecy Act, USA PATRIOT Act, anti-terrorist financing, sanctions, industry AML, and securities laws and regulations.
Responsibilities
Conducting quality assurance reviews of account activity, including trading activity, deposit and withdrawal activity, and public domain activity, to determine if activity is in line with IBKR policy
Advising management by collecting, analyzing, and summarizing data and trends.
Conduce quality assurance on regulatory filings
Contribute to streamlining current processes and identifying areas for improvement
Review trading data for suspicious activity or patterns of unusual training
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. In the absence of direct industry experience, we will also consider applicants with excellent Bachelor’s-level educational credentials who have some background in law, accounting, data analytics or similar areas with strong analytical and quantitative skills. In order to thrive and succeed in a remote work environment candidates must be focused, adaptable, collaborative and have strong time management skills.
Qualifications, Skills & Attributes
Preferred qualifications:
2 years’ work experience in Trade Surveillance
High degree of comfort and fluency with computers and technology and understanding of how
technology is applied to business and regulatory problems.
Excellent oral and written communication skills
Detail-oriented with outstanding organizational and project management skills
Ability to work both independently as well as in a small-team environment, and to multi-task
with minimal supervision
ACAMS, CFE, CFCS, Series 7, or other FINRA licenses or certifications a plus
Capital Markets
Company Benefits & Perks
Competitive salary, annual performance-based bonus and stock grant
Retirement plan 401k with competitive company match
Excellent health and welfare benefits including medical, dental, and vision benefits
Wellness screenings and assessments, health coaches and counseling 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
Modern offices with sit/stand desks and multi-monitor setups
Company Overview
Interactive Brokers (IBKR), a subsidiary of publicly-traded **MEMBERS ONLY**SIGN UP NOW***., 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.
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