Compliance Analyst Compliance Analyst …

Interactive Brokers
in Montreal, QC, Canada
Permanent, Full time
Last application, 28 May 20
Competitive
Interactive Brokers
in Montreal, QC, Canada
Permanent, Full time
Last application, 28 May 20
Competitive
Compliance Analyst
Interactive Brokers Canada has an immediate need at our Montreal office for a Junior Compliance Analyst. The successful candidate will be responsible for but not limited to the following:
  • Prepare Surveillance Report review and memorialization
  • Regulatory Filings
  • Assist with Anti Money Laundering Program
  • Conduct Fraud Monitoring
  • Develop knowledge about firm processes
  • Advise management by collecting, analyzing, and summarizing data and trends.
Qualifications
  • A University degree is required. Acceptable majors include Finance, Accounting, Math, Computer Science or Law.
  • Ideally, 2 + years experience working for a brokerage or investment firm, or Self-Regulatory Organization (SRO)
    • We will consider applicants with excellent Bachelor's-level educational credentials who have some background in law, accounting, finance, or similar areas with strong analytical and quantitative skills
  • Completed Canadian Securities Course (CSC) and the Conduct and Practices Handbook (CPH) or the ability to complete such courses promptly upon hiring is required.
  • Derivatives Fundamentals & Options Licensing Course (DFOL) and Futures Licensing Course (FLC) an asset.
  • Knowledge of the SRO and Broker-Dealer regulatory environment, and equities and equity-linked products is key.
  • High proficiency with desktop applications and MS Office suite of products is required.
  • Must be comfortable working in an automated, hands-on environment.
  • Excellent English, written and oral communication skill sets are important prerequisites.
Additional preferred Skills:
  • Experience within a Compliance Department, internal audit, legal or a control function of an SRO or Broker-Dealer.
  • Trading background with the ability to understand and breakdown complex trading strategies an asset.
  • Data analytics skills and experience an asset


Company Overview
Interactive Brokers ("IBKR"), a subsidiary of publicly-traded Interactive Brokers Group, Inc., based in Greenwich, Connecticut (NASDAQ: IBKR) is a low-cost provider of trade execution and clearing services for active traders, institutional investors, financial advisors and introducing brokers. IBKR's premier technology provides electronic access to stocks, options, futures, forex, bonds, and funds worldwide from a single IBKR Integrated Investment account. IBKR is one of the largest online brokers by trade volume and is consistently ranked at the top of its field.
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.
Our headquarters are in Greenwich, CT, USA. IBKR has offices in the United States, Canada, the United Kingdom, Switzerland, Hungary, Estonia, Russia, India, Hong Kong, China, Japan, and Australia.
IBKR is a member of NYSE, FINRA, and SIPC. Interactive Brokers Group brokerage affiliates are regulated by securities and commodities agencies around the world.
Click HERE to view a short video with a few words from current Interactive Brokers employees.
For more information, please visit www.ibkr.com/info

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