Compliance Team Lead

Interactive Brokers
Published
July 11, 2019
Location
Chicago, IL
Job Type

Description

Job Description And Responsibilities

Interactive Brokers LLC is looking for a motivated and talented Compliance Team Leader in our Chicago Surveillance group.

    • Lead a team of Compliance Analysts responsible for conducting surveillance of IB’s global customer base.
    • Work day to day with your team of Compliance Analysts to conduct thorough surveillance report reviews and ad hoc investigations into potential fraud, money laundering, manipulative trading and other potential violations of laws and regulations.
    • Analyze the results of complex investigations and provide concise written conclusions of your findings to IB’s Compliance Management and Legal Department.
    • Assist with drafting specifications to create and improve surveillance reports and compliance tools
    • Conduct supervisory reviews and provide constructive feedback to Analysts.
    • Train, lead and guide your team members on compliance and surveillance related matters.
    • Communicate directly with U.S. and foreign clients as part of compliance related reviews.
    • Keep up to date on relevant industry regulations.
    • Work with programmers to improve systems and address compliance needs.
    • Review and draft Suspicious Activity Reports.

 

Qualifications

    • 3-5 years’ experience with the SEC, FINRA, CFTC, NFA, exchange or another broker-dealer or FCM strongly preferred.
    • 1-2 years’ experience leading others in a fast paced work environment.
    • Prior experience in a highly automated environment and/or high degree of comfort and fluency with computers and technology, and understanding of how technology is applied to business and regulatory issues.
    • Ability to develop compliance solutions that satisfy relevant regulations while executing sound business judgment.
    • Ability to work in a small-team environment, to work independently and to multi-task with minimal supervision.
    • Trading background with the ability to understand and breakdown complex trading strategies.
    • Bachelor’s degree or higher with a major or concentration in Finance, Economics, Accounting, or Information Systems, etc.
    • Series 7 license and a Series 3, 4 and/or 24 license.
    • Excellent written and oral communication skills.
    • Knowledge of UNIX, SQL, Visual Basic or Perl is a plus.

 

Company Overview

Interactive Brokers ("IBKR"), a subsidiary of publicly-traded Interactive Brokers Group, Inc., based in Greenwich, Connecticut (IEX: 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, Canada, the United Kingdom, Switzerland, Hungary, Estonia, Russia, India, Hong Kong, China, Japan and Australia.

IBKR is a member of NYSE, FINRA, and SIPC. Interactive Brokers Group brokerage affiliates are regulated by securities and commodities agencies around the world.

Company Description

Interactive Brokers LLC (IBKR) is a low cost provider of trade execution and clearing services for individuals, advisors, proprietary trading groups, brokers and hedge funds. IBKR’s premier technology provides electronic access to stocks, options, futures, forex, bonds and funds on over 100 markets worldwide from a single IBKR Universal account.

Interactive Brokers Group’s (IBG) headquarters are in Greenwich, CT. IBG has offices throughout the United States, Switzerland, Canada, Hong Kong, the United Kingdom, Australia, Hungary, Russia, India, China and Estonia.

IBLLC is a member of NYSE, FINRA, SIPC. Interactive Brokers Group brokerage affiliates are
regulated by securities and commodities agencies around the world. For more information and
disclosure, please see ibkr.com/info.

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