Compliance Administrative Assistant Compliance Administrative Assistant …

Interactive Brokers
in Greenwich, CT, United States
Permanent, Full time
Last application, 24 Oct 20
Interactive Brokers
in Greenwich, CT, United States
Permanent, Full time
Last application, 24 Oct 20
Compliance Administrative Assistant
The Compliance Administrative Assistant will be responsible for:
  • Processing all regulatory inquiries into IBKR's proprietary case management systems.
  • Monitoring the status of all regulatory inquiries into IBKR's case management systems.
  • Working with analysts and management across all compliance departments on inquiry response production
  • Coordinating IBKR inquiry responses and status updates with regulators
  • Provide management with metrics on outstanding and completed regulatory inquiries.
  • Analyze and link inquiries into common matters and persons in IBKR's proprietary systems.

  • 1 - 3 years' experience with the SEC, FINRA, CFTC, NFA, SRO, law firm, or another broker-dealer or FCM.
  • Solid academic background.
  • High degree of comfort and fluency with computers and technology and understanding of how technology is applied to business and regulatory problems.
  • Outstanding oral and written communication skills
  • Detail orientated with outstanding organizational and project management skills
  • Ability to work both independently as well as in a small-team environment, and to multi-task with minimal supervision

  • Competitive compensation package commensurate with experience (including bonus and stock grant possibilities)
  • 401(k) plan, paid vacation, medical and dental insurance plans, flexible spending accounts

Company Overview
Interactive Brokers 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.
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