Junior Compliance Analyst

  • Competitive
  • Chicago, IL, USA
  • Permanent, Full time
  • Interactive Brokers
  • 20 Aug 17

Junior Compliance Analyst

Overview :

Interactive Brokers 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 100 market centers in 25 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 657,000 trades per day (First Quarter 2017 results). At Interactive Brokers, you will be 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.

Interactive Brokers Group LLC, has an immediate need for an Entry Level Junior Compliance Analyst in our Chicago office.

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, computer science or similar areas with strong analytical and quantitative skills.

Responsibilities :

  • Prepare Surveillance Report review and memorialization
  • Regulatory Filings
  • Assist with Anti Money Laundering Program
  • Conduct Fraud Monitoring
  • Develop knowledge about firm processes
  • Advise management by collecting, analyzing, and summarizing data and trends.


Qualifications :

  • College degree is required. Acceptable majors include: Finance, Accounting, or Information Systems.
  • 0- 2 years experience
  • Knowledge of the SRO, Broker Dealer and/or FCM environment, and equities and equity-linked products is key.
  • High proficiency with desktop applications and MS Office suite of products is required.
  • Must be comfortable working in an automated, hands-on environment.
  • Excellent written and oral communication skill sets are important prerequisites.
Additional preferred Skills:
  • Knowledge of UNIX, SQL, Perl is a plus
  • Experience with an SRO, Broker Dealer or FCM,
  • Experience within a Compliance Department, internal audit, legal or a control function of a SRO, BD or FCM.
  • Trading background with the ability to understand and breakdown complex trading strategies.


[1] Figures as of September 30, 2016. Information on the company can be found at: www.interactivebrokers.com