Experience:
No experience
Employment Type:
Full time
Posted:
8/18/2018
Job Category:
Law Enforcement
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Junior Compliance Specialist- Securities/Commodities...
Interactive Brokers LLC | Chicago, Illinois
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Job Description

Company OverviewInteractive Brokers LLC, a subsidiary of Interactive Brokers Group, Inc. (NASDAQ: IBKR) is a direct access electronic broker catering to the needs of professional and frequent traders, institutional investors, financial advisors, and introducing brokers. Our clients have access to more than 120 market centers in 26 countries from a single account. We are the lowest cost provider of brokerage services and the largest U.S. electronic broker based on daily average revenue trades executing over 800,000 trades per day.[i] 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. [i] Figures as of January 1, 2018. Information on the company can be found at www.interactivebrokers.com Click the link to view a short video with a few words from current Interactive Brokers employees: https://www.interactivebrokers.com/en/index.php?f=31899 Job Description and ResponsibilitiesInteractive Brokers LLC has an immediate need for a Junior Level Compliance Specialist at our Chicago office to respond to regulatory inquirires. This is an entry-level position with excellent growth potential for highly motivated and exceptional performers. The ideal candidate will have some regulatory compliance experience working for an exchange, a regulatory organization, a Broker Dealer (BD), a Futures Commission Merchant (FCM) or similar organization. Alternatively, experience in internal audit, legal, accounting or other control function of a financial services firm or regulator would be beneficial. We will also consider applicants with excellent Bachelor's-level educational credentials who have some background in business, accounting, computer science or similar areas with strong analytical and quantitative skills. - Investigating factual and regulatory rule background behind client trading and financial activity - Preparing and drafting regulatory correspondence - Creating, reviewing and following up on surveillance reports of financial and trading activity - Preparing regulatory filings - Assisting with Anti-Money Laundering Program - Developing knowledge about the firm's computer systems and trading processes Qualifications - Must have a college degree with strong grades; preferred majors include: Finance, Accounting, Computer Science or Information Systems - Must be a detail-oriented person - Have the ability to understand regulatory rules and client financial activity and trading strategies. - High proficiency with desktop applications and MS Office suite of products is required. - Knowledge of UNIX, SQL, Perl is a plus. - Must be comfortable working in an automated, hands-on environment. - Excellent written and oral communication skill sets are important prerequisites.

About Interactive Brokers LLC

Interactive Brokers Group, Inc. (IBG, Inc.) is an automated global electronic market maker and broker specializing in routing orders and executing and processing trades in securities, futures and foreign exchange instruments on more than 70 electronic exchanges and trading venues globally. The two segments of the Company are market making and electronic brokerage. As a market maker, the Company provide continuous bid and offer quotations on approximately 420,000 securities and futures products listed on electronic exchanges globally. As a direct market access broker, IBG, Inc. serves the customers of both traditional brokers and prime brokers. It provides customers with an order management, trade execution and portfolio management platform. (Source: 10-K)

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