Interactive Brokers Group, Inc.
Senior Analyst - Compliance
Interactive Brokers Group, Inc., Chicago, Illinois, United States, 60290
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 (three days in the office, two days remote).
Interactive Brokers is seeking a
Senior Analyst – Compliance
for its Chicago, IL office. This position offers strong growth potential for highly motivated and high-performing individuals. The Senior Analyst will report to a Compliance Manager and help ensure the firm complies with the Bank Secrecy Act, USA PATRIOT Act, counter‑terrorist financing regulations, sanctions programs, and applicable AML and securities laws. This is a hybrid position; employees are expected to be in the office three days per week, with Monday as a mandatory in‑office day. Responsibilities:
Review and analyze correspondent clients’ AML programs, KYC profiles, and transactions in accordance with established procedures and IBKR policy. Draft comprehensive risk assessments for correspondent clients. Collaborate with internal stakeholders to complete reviews and improve client efficiency. Maintain accurate tracking of assignments and documentation requests to meet deadlines. Escalate and investigate issues identified during reviews. Contribute to process improvements and identify areas for operational efficiency. Assist in drafting, training, and maintaining procedures and related documentation. Serve as a subject matter expert for CAFFI (Correspondent Account for Foreign Financial Institution) reviews. Qualifications:
Experience AML program assessment and testing CDD and EDD program evaluation KYC program auditing Transaction monitoring, system testing, or audit Candidates should demonstrate: Ability to assess AML control effectiveness, identify gaps, and recommend remedial measures Familiarity with current and emerging trends in AML, trade, and sanctions Understanding of risks associated with digital assets and complex ownership structures Minimum of three years conducting AML compliance audits or EDD reviews of complex organizations Education Preferred Bachelor’s degree or higher in accounting, criminal justice, finance, law, or similar disciplines, with strong analytical and quantitative skills. Other Qualifications Focused, adaptable, and collaborative, with strong time management and issue‑spotting skills Excellent oral and written communication skills Detail-oriented Able to work independently and in small teams, and to multitask with minimal supervision Proficient in Excel, Word, and PowerPoint Comfortable with new technologies ACAMS certification Preferred Qualifications: CFE, CFCS, Series 7, or other FINRA certifications Advanced degree in finance, law, or criminal justice Experience conducting EDD reviews of foreign financial institutions To be successful in this position, you will have the following:
Self‑motivated and able to work with minimal supervision Skilled in analytical thinking and problem‑solving An excellent communicator, both verbally and in writing, with strong collaboration skills Highly organized, with strong time management abilities 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, and a 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 snacks 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 $86,000 to $90,000 annually, based on skills 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 a stock award as well as a wide range of benefits, including health care, tuition reimbursement, and much more. Interactive Brokers (“IBKR”) is committed to protecting the privacy of its users. 1. Aggregate Information about Visitors. We collect information on a general and aggregate basis, such as IP addresses, in order to analyze the performance of our sites. This data is used completely anonymously in order to determine the number of people who visit our sites and the most frequently used sections of our sites. This enables us to continually update and refine our sites to ensure it provides you with a successful experience. 2. Information about Users. When registering you are requested to enter certain information about yourself. This information forms the basis for any job application. 3. Your online resume and job application. The details of your job application, covering letter, resume and academic results and any other information will not be viewed by anyone except IBKR and any third party service providers used by IBKR for its hiring processes. 4. Information Management. You can edit any information entered at any time before your job application is submitted. This includes contact details, email address, job application information and password. However, once a job application has been sent, that specific job application cannot be altered. You have certain rights to see and correct data held about you. Please refer to the IBKR Group Privacy Policy on our website. 5. Security. The security of our system is very important to us and we work hard on it. However, please note that no data transmission over the Internet is 100% secure. As set forth in Interactive Brokers’s Equal Employment Opportunity policy, we do not discriminate on the basis of any protected group status under any applicable law.
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Senior Analyst – Compliance
for its Chicago, IL office. This position offers strong growth potential for highly motivated and high-performing individuals. The Senior Analyst will report to a Compliance Manager and help ensure the firm complies with the Bank Secrecy Act, USA PATRIOT Act, counter‑terrorist financing regulations, sanctions programs, and applicable AML and securities laws. This is a hybrid position; employees are expected to be in the office three days per week, with Monday as a mandatory in‑office day. Responsibilities:
Review and analyze correspondent clients’ AML programs, KYC profiles, and transactions in accordance with established procedures and IBKR policy. Draft comprehensive risk assessments for correspondent clients. Collaborate with internal stakeholders to complete reviews and improve client efficiency. Maintain accurate tracking of assignments and documentation requests to meet deadlines. Escalate and investigate issues identified during reviews. Contribute to process improvements and identify areas for operational efficiency. Assist in drafting, training, and maintaining procedures and related documentation. Serve as a subject matter expert for CAFFI (Correspondent Account for Foreign Financial Institution) reviews. Qualifications:
Experience AML program assessment and testing CDD and EDD program evaluation KYC program auditing Transaction monitoring, system testing, or audit Candidates should demonstrate: Ability to assess AML control effectiveness, identify gaps, and recommend remedial measures Familiarity with current and emerging trends in AML, trade, and sanctions Understanding of risks associated with digital assets and complex ownership structures Minimum of three years conducting AML compliance audits or EDD reviews of complex organizations Education Preferred Bachelor’s degree or higher in accounting, criminal justice, finance, law, or similar disciplines, with strong analytical and quantitative skills. Other Qualifications Focused, adaptable, and collaborative, with strong time management and issue‑spotting skills Excellent oral and written communication skills Detail-oriented Able to work independently and in small teams, and to multitask with minimal supervision Proficient in Excel, Word, and PowerPoint Comfortable with new technologies ACAMS certification Preferred Qualifications: CFE, CFCS, Series 7, or other FINRA certifications Advanced degree in finance, law, or criminal justice Experience conducting EDD reviews of foreign financial institutions To be successful in this position, you will have the following:
Self‑motivated and able to work with minimal supervision Skilled in analytical thinking and problem‑solving An excellent communicator, both verbally and in writing, with strong collaboration skills Highly organized, with strong time management abilities 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, and a 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 snacks 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 $86,000 to $90,000 annually, based on skills 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 a stock award as well as a wide range of benefits, including health care, tuition reimbursement, and much more. Interactive Brokers (“IBKR”) is committed to protecting the privacy of its users. 1. Aggregate Information about Visitors. We collect information on a general and aggregate basis, such as IP addresses, in order to analyze the performance of our sites. This data is used completely anonymously in order to determine the number of people who visit our sites and the most frequently used sections of our sites. This enables us to continually update and refine our sites to ensure it provides you with a successful experience. 2. Information about Users. When registering you are requested to enter certain information about yourself. This information forms the basis for any job application. 3. Your online resume and job application. The details of your job application, covering letter, resume and academic results and any other information will not be viewed by anyone except IBKR and any third party service providers used by IBKR for its hiring processes. 4. Information Management. You can edit any information entered at any time before your job application is submitted. This includes contact details, email address, job application information and password. However, once a job application has been sent, that specific job application cannot be altered. You have certain rights to see and correct data held about you. Please refer to the IBKR Group Privacy Policy on our website. 5. Security. The security of our system is very important to us and we work hard on it. However, please note that no data transmission over the Internet is 100% secure. As set forth in Interactive Brokers’s Equal Employment Opportunity policy, we do not discriminate on the basis of any protected group status under any applicable law.
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