Junior Compliance Analyst (1811)
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.
The employer will not sponsor an employment visa for this position.
Interactive Brokers ("IBKR"), a subsidiary of publicly-traded Interactive Brokers Group, Inc., based in Greenwich, Connecticut (IEX: 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.
For more information, please visit www.ibkr.com/info