Trade Surveillance Analyst

Interactive Brokers; Chicago (IL); Hybrid; USD 60,000 - 80,000; Full time

Benefits offered by this job

Competitive salary, annual bonus, and stock grants

401(k) retirement plan with company match

Health benefits including medical, dental, vision

Paid time off and parental leave

Education reimbursement and learning opportunities

Job summary

Interactive Brokers, a leading global financial services company, is seeking a Trade Surveillance Analyst for their Chicago office. This entry-level role emphasizes compliance with financial regulations and offers substantial growth potential. Candidates should have strong analytical and communication skills, along with a bachelor's degree in finance or related fields.

Qualifications

• 1-3 years in regulatory compliance for a financial organization preferred.
• Experience in internal audit or related control functions beneficial.
• Strong knowledge of equity and exchange-traded derivative markets.

Responsibilities

• Conduct account activity reviews and monitor suspicious trading.
• Prepare regulatory filings and advise management on trends.
• Streamline current processes and identify areas for improvement.

Skills

Analytical skills

Detail-oriented

Communication skills

Problem-solving skills

Organizational skills

Education

Bachelor's degree in finance, economics or data analytics

Tools

ACAMS certification

CFE certification

CFCS certification

Series 7 license

Job description

Join to apply for the Trade Surveillance Analyst role at Interactive Brokers.

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 a hybrid role (3 days in the office/2 days remote).

Interactive Brokers seeks Trade Surveillance Analysts for its Chicago, Illinois, office. This entry-level position offers excellent growth potential for highly motivated and exceptional performers. Analysts will report to a Compliance Manager and help ensure the firm complies with the Bank Secrecy Act, USA PATRIOT Act, anti-terrorist financing, sanctions, industry anti-money laundering, and securities laws and regulations.

Responsibilities

• Conduct account activity reviews, including trading, deposit, withdrawal, and public domain activity, to determine if the activity aligns with IBKR policy.
• Advise management by collecting, analyzing, and summarizing data and trends.
• Prepare regulatory filings.
• Contribute to streamlining current processes and identifying areas for improvement.
• Review trading data for suspicious activity or patterns of unusual trading.

The ideal candidate will have 1-3 years of regulatory compliance experience working for an exchange, a regulatory organization, a broker-dealer (BD), a futures commission merchant (FCM), or a similar organization. Alternatively, experience in internal audit, legal, accounting, or other control functions of a financial services firm or regulator would be beneficial. We will also consider applicants with excellent bachelor-level educational credentials, some background in finance, economics, data analytics, or similar areas, and strong analytical and quantitative skills.

Qualifications, Skills, Attributes

• Strong product knowledge of equity or exchange-traded derivative markets, or both.
• 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 independently and in a team, with multitasking abilities.
• ACAMS, CFE, CFCS, Series 7, or other FINRA licenses or certifications are a plus.

To be successful, you should also have:

• Self-motivation and ability to handle tasks with minimal supervision.
• Strong analytical and problem-solving skills.
• Excellent collaboration and communication skills.
• Outstanding organizational and time management skills.

Company Benefits & Perks

• Competitive salary, annual bonus, and stock grants.
• Retirement plan 401(k) with company match.
• Health benefits, including medical, dental, and vision.
• Wellness programs and Employee Assistance Program.
• Paid time off and parental leave.
• Company lunch allowance and fully stocked kitchen.
• Team events, volunteer activities, and sports teams.
• Education reimbursement and learning opportunities.
• Modern offices with multi-monitor setups.

Additional Details

• Seniority level: Entry level
• Employment type: Full-time
• Job function: Finance and Sales

This job is active and accepting applications.