Analyst - Financial Advisor Compliance (Temp)

ZipRecruiter; London; Hybrid; GBP 30,000 - 60,000; Full time

Job summary

An established industry player is seeking dynamic Compliance Analysts for a temporary role that blends in-office and remote work. This exciting position involves conducting surveillance reviews, analyzing alerts for potential compliance violations, and collaborating with financial advisors to ensure adherence to regulations. The ideal candidates will possess strong analytical skills and a solid understanding of compliance within the financial services sector. Join a forward-thinking organization that values innovation and teamwork while enjoying a range of perks, including daily lunch allowances and corporate events. If you're ready to make an impact in a fast-paced environment, this opportunity is for you.

Benefits

Daily lunch allowance

Fully stocked kitchen

Corporate events

Team outings

Company sports teams

Qualifications

• Strong compliance knowledge and regulatory experience are essential.
• Excellent analytical and communication skills are required.

Responsibilities

• Conduct surveillance reviews for financial advisor clients.
• Review alerts for potential violations and write findings.

Skills

Compliance knowledge

Regulatory experience

Analytical skills

Communication skills

Technical fluency

Experience with Atlassian Confluence/JIRA

Education

Bachelor's degree

Tools

IBKR360

Confluence

JIRA

Job description

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-team and be a part of a company that simplifies and enhances financial opportunities using state-of-the-art technology.

About INTERACTIVE BROKERS!

This is a hybrid role (three days in the office/two days remote).

About Your Team:

Interactive Brokers is looking to hire two temporary Compliance Analysts in our Greenwich, IL office for a 6-month assignment. The Compliance Analysts will work independently and quickly adapt to a fast-paced environment. The analysts will report to the Financial Advisor ("FA") Compliance Team Lead and assist with various initiatives relating to Interactive Brokers Financial Advisor program and clients.

What will be your responsibilities within IBKR:

• Responsible for conducting surveillance reviews pertaining to the firm's financial advisor clients and platform.
• Assisting with reviewing alerts generated in IBKR360 to look for potential violations with a focus on advisors charging clients excessive or unexplainably high fees for services provided.
• Sending outreach to financial advisors to solicit additional information.
• Identifying items for escalation to management.
• Writing up review notes and findings for manager review.

What Skills Are Required:

• The ideal candidate should possess a strong dose of compliance curiosity and have some regulatory experience working for an exchange, a regulatory organization, a Broker Dealer, a Futures Commission Merchant, or a similar organization. Alternatively, experience in internal audit, compliance, legal, accounting, or other control function of a financial services firm or regulator would be beneficial. 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, data analytics, or similar areas with strong analytical and quantitative skills.
• A high degree of comfort and fluency with computers and technology and an understanding of how technology is applied to business and regulatory problems. Experience working directly with programmers and/or familiarity with scripting or query is a plus.
• Outstanding oral and written communication skills.
• Ability to develop compliance solutions that satisfy relevant regulations while executing sound business judgment.
• Ability to work both independently as well as in a small-team environment and to multi-task with minimal supervision.
• Experience with Atlassian Confluence/JIRA is a plus.

Company Benefits & Perks:

• Daily company lunch allowance provided, and a fully stocked kitchen with healthy options for breakfast and snacks.
• Corporate events including team outings, dinners, volunteer activities, and company sports teams.
• Modern offices with multi-monitor setups.