Job description
Company Overview
Interactive Brokers Group, Inc. (Nasdaq: IBKR) is a global financial services company headquartered in Greenwich, CT, USA, with offices in over 15 countries. We have been at the forefront of financial innovation for over four decades, known for our cutting-edge technology and client commitment.
IBKR affiliates provide global electronic brokerage services around the clock on stocks, options, futures, currencies, bonds, and funds to clients in over 200 countries and territories. We serve individual investors and institutions, including financial advisors, hedge funds and introducing brokers. Our advanced technology, competitive pricing, and global market help our clients to make the most of their investments.
Barron’s has recognized Interactive Brokers as the #1 online broker for six consecutive years. Join our dynamic, multi-national team and be a part of a company that simplifies and enhances financial opportunities using state-of-the-art technology.
This is Hybrid role (3 days in office /2 days remote)
Interactive Brokers is looking to hire a full-time Analyst - Quality Assurance (QA) Financial Crime Compliance at the Chicago office. This position has 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 the Bank Secrecy Act, the USA PATRIOT Act, anti-terrorist financing, sanctions program, AML requirements, and securities laws and other applicable global regulatory frameworks.
This role is global in scope and requires the ability to be cross-trained across multiple Financial Crime Compliance processes and across multiple legal entities supporting a risk-based, enterprise-wide Quality Assurance program.
Responsibilities:
Conduct risk -based quality assurance reviews across multiple Financial Crime Compliance Functions, including but not limited to:
- Trade Surveillance
- Financial Investigative Unit (AML)
- Sanctions
- Fraud
- Enhance Due Diligence
- Regulatory Correspondence
Review account activity globally, including trading behavior, deposits and withdrawals, sanctions exposure, fraud indicators, enhance due diligence on high-risk clients and public domain activity to assess adherence to internal policies, procedures and regulatory obligations.
Perform QA testing across multiple global entities and jurisdictions, ensuring consistent application of standards while account for local regulatory requirements.
Support a cross-functional, cross-trained QA model, rotating across Financial Crime Compliance processes and adapting to evolving risk priorities.
Advise management by collecting, analyzing and summarizing QA results, data, and emerging risk trends across regions and compliance disciplines.
Perform quality assurance reviews of regulatory filings, investigations, alerts and escalations.
Identify thematic issues, control gaps, and opportunities for process optimizations and continuous improvement across global Financial Crime Compliance programs.
Review trading and transactional data for suspicious activity. Market abuse, fraud typologies and unusual patterns.
Partner with stakeholders across Compliance, Risk, Operations and Technology to support remediation efforts and strengthen global control frameworks.
The ideal candidate will have experience working within a financial institution, broker dealer (BD), Futures Commission Merchant (FCM), exchange, regulator, or other regulated financial services organization with exposure to Financial Crime Compliance, internal audit, legal, accounting, or other control functions.
Candidates must demonstrate the ability and willingness to be cross trained across multiple Financial Crime Compliance disciplines and to support multiple global legal entities. Absent direct industry experience, candidates with strong bachelor level academic, credential in law, accounting, finance, data analytics or related fields and strong analytical and quantitative skill will also be considered.
Successful candidates are adaptable, detail-oriented, collaborative, time management skills and comfortable operating in a fast-paced globally environment to succeed in Interactive Brokers’ work environment.
Qualifications & Skills:
2+ years’ work experience in one or more Financial Crime Compliance areas (e.g., Sanctions, Trade Surveillance, Fraud, Regulatory Correspondence, Enhance Due Diligence, AML, FIU or Transaction Monitoring )
- Demonstrate ability and willingness to be cross trained across multiple Financial Crime Compliance processes
- Experience supporting or reviewing activity across multiple global jurisdiction and legal entities preferred
- High 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
To be successful in this position, you will have the following:
- 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.
Company Benefits & Perks
- Competitive salary, annual performance-based bonus and stock grant
- Retirement plan 401(k) with competitive company match
- Excellent health and wellness benefits, including medical, dental, and vision benefits. 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
This role’s anticipated base salary range is $75,000 to $110,000 annually based on skill’s and experience. The offered salary is just part of the total compensation package. In addition to a competitive salary, the company offers both a discretionary cash bonus and stock award as well as a wide range of benefits, including health care, tuition reimbursement and much more
