Junior Compliance Analyst

  • Competitive
  • Washington D.C., DC, USA Washington D.C. DC US
  • Permanent, Full time
  • Interactive Brokers
  • 19 Aug 18 2018-08-19

Junior Compliance Analyst

Company Overview

Greenwich Advisor Compliance Services Corporation (Greenwich Compliance) provides expert registration and compliance solutions for registered investment advisers looking for assistance with meeting regulatory requirements. We offer resources and services to assist advisors with issues ranging from registration to day-to-day compliance.
Greenwich Compliance is a wholly owned affiliate of Interactive Brokers Group.Interactive is one of the 15 largest financial services firms in the U.S. and a global leader in technology-focused securities brokerage and market making.  We serve more than 496,000 customers trading securities, commodities and foreign exchange in at least 23 currencies on over 120 market centers in 26 countries around the world, and are the largest online broker in the U.S. based on daily trade volume. IBKR has been named one of the top online brokers by Barron's for the last seven years.
Greenwich Compliance is looking to expand our team and is seeking to add an entry level compliance analyst. This position is an excellent opportunity for individuals looking to develop an understanding of the investment management industry and related securities laws. Candidates should have a strong interest in financial services/compliance and be eager to learn and be challenged.

Job Description and Responsibilities

- Assist senior staff and clients in preparing their SEC and state registration filings, including Form ADV filings.
- Interact with the SEC, state regulatory agencies and other regulatory bodies in connection with efforts to get clients registered as investment advisers.
- Assist senior staff and clients in drafting their compliance manuals, codes of ethics, and other written materials for use by clients to help them meet their compliance obligations and/or respond to regulatory inquiries.
- Draft web content and periodic releases on compliance issues of interest to investment advisors.
- Maintaining internal calendars and other recordkeeping tasks.
- Work on and manage specialized projects as necessary


- Bachelor's degree (we would consider students working toward a degree).
- Anywhere from 0-3 years of experience in a business or office environment.
- Solid academic background.
- Strong attention to detail.
- Outstanding oral and written communication skills.