Regulatory Correspondence Analyst, Interactive Brokers
$70-80k
+ Annual performance-based bonus and stock grant
3 days a week in office
Online broker
Job no longer available
Online broker
1001+ employees
Job no longer available
$70-80k
+ Annual performance-based bonus and stock grant
3 days a week in office
1001+ employees
Company mission
To create technology to provide liquidity on better terms.
Role
Who you are
- The RC Analyst should have experience investigating and analyzing trading activity, money movement, and various account relationship aspects for potential Anti-Money Laundering (“AML”) considerations at a financial services firm
- 2-3+ years of experience within AML/Fraud compliance in a financial services institution, preferably at a large broker-dealer or financial institution with an international client base (or similar experience at a regulatory agency). A strong background in trading or conducting trading reviews is very beneficial
- Must be a problem solving, innovative thinker with outstanding communication skills and a strong ownership mentality
- Have a high degree of comfort with technology and a functional understanding of its application to business and regulatory solutions
- Bachelor’s degree or military experience
- Certified Anti-Money Laundering Specialist (CAMS), or FINRA licenses (SIE, Series 7, etc.) strongly preferred. If none, must be willing and able to obtain relevant licensures/certifications promptly
- 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
What the job involves
- Interactive Brokers LLC seeks a Regulatory Correspondence (“RC”) Analyst to work from our Chicago Operations Center
- The incumbent will help ensure the firm complies with the Bank Secrecy Act, USA PATRIOT Act, anti-terrorist financing, sanctions, and industry AML laws and regulations
- Thoroughly investigate client account and transaction activity to identify behavior potentially linked to money laundering, terrorist financing, manipulative trading, or other financial crimes
- Analyze complex data sets, client profiles, and transaction patterns to identify inconsistencies, anomalies, and red flags
- Collaborate with internal stakeholders to gather information, escalate concerns, and ensure a coordinated, appropriate response to identified risks
- Monitor and document activity pursuant to internal procedures, regulatory expectations, and industry best practices
- Stay current with applicable AML/CFT regulations, trading rules, emerging financial trends, and internal policies
Our take
Interactive Brokers is an automated electronic broker, empowering users to analyse global stock markets, manage portfolios, and explore diverse investment assets. With a history spanning over 45 years, the company has thrived by adapting to evolving digital trading trends. Its comprehensive suite of services includes analytical tools, asset marketplaces, and seamless third-party integration, enhancing portfolio management capabilities.
Boasting over $11.6 billion in equity capital, Interactive Brokers remains at the forefront of industry innovation. The company has embraced the rising popularity of cryptocurrency, offering customers access to crypto trading through a partnership with Paxos Trust Company. This proactive approach reaffirms Interactive Brokers' position as a forward-thinking player in the ever-changing trading landscape.
Recently, Interactive Brokers expanded its trading hours for U.S. Treasury bonds to 22 hours a day, allowing global clients to trade during their local hours and quickly respond to market news. This extension reflects the company's commitment to flexibility and comprehensive service, meeting the diverse needs of clients in over 200 countries and territories.
Kirsty
Company Specialist at Welcome to the Jungle
Insights
8% employee growth in 12 months
Company
Company benefits
- Competitive Pay with discretionary bonus packages which may include company stock grants
- Comprehensive Health Plans that include extensive Vision, Dental and Prescription coverage
- 401k Retirement Savings Plan (generous company match)
- Daily Lunch Allowance
- Wellness Incentives
- Flexible Spending Accounts
- Paid Personal Time and Sick Leave
Company HQ
Greenwich, CT
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