Compliance Intake Administrator, Interactive Brokers
+ Annual performance-based bonus + Stock grant
3 days a week in office
Online broker
Open for applications
Online broker
1001+ employees
Open for applications
+ Annual performance-based bonus + 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
- Outstanding organizational and time management skills are a must
- Familiarity with the financial services regulatory environment (broker-dealer, investment adviser, futures commission merchant, etc) is helpful but not required
- Solid academic background – Bachelor’s Degree or equivalent experience
- Ability to work independently in a small team environment and manage competing priorities
- Clear, concise communication skills
- High degree of comfort with technology and ability to quickly learn IBKR systems
- 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 seeks to hire a Compliance Intake Administrator for the Regulatory Correspondence Unit in its Chicago Office
- This role will report to the Regulatory Correspondence Unit Head and operate as part of a broader team to help ensure that the firm complies with the Bank Secrecy Act, USA PATRIOT Act, anti-terrorist financing, sanctions, industry Anti-Money Laundering (AML), and securities laws, rules, and regulations
- With limited oversight, own the Regulatory Correspondence intake process by:
- Identifying and assessing inquiries from regulatory and law enforcement authorities and
- Creating and assigning related matters within internal case management promptly
- Monitor regulatory response timelines and facilitate timely regulatory productions
- Communicate with regulators, law enforcement officials, and IBKR stakeholders regarding case status
- Escalate matters to Regulatory Correspondence management as appropriate
- Involvement in special projects as necessary
Our take
Interactive Brokers is an automated electronic broker, empowers 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
Some candidates hear
back within 2 weeks
8% employee growth in 12 months
Company
Company benefits
- Retirement plan 401(k) with a competitive company match
- Excellent health and wellness benefits, including medical, dental, and vision benefits and 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
Company HQ
Greenwich, CT
Articles
Leadership
Thomas Peterffy
(Chairman)Former computer programmer and architectural draftsman. They played a role in developing the first electronic trading platform for securities at the American Stock Exchange.
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