Compliance Team Lead - Advisors & Intermediaries Review Group (2038) Compliance Team Lead - Advisors & Intermediaries  …

Interactive Brokers
in Chicago, IL, United States
Permanent, Full time
Last application, 22 Aug 19
Interactive Brokers
in Chicago, IL, United States
Permanent, Full time
Last application, 22 Aug 19
Compliance Team Lead - Advisors & Intermediaries Review Group (2038)
Interactive Brokers LLC is looking for a motivated and talented Compliance Team Lead for our Advisors & Intermediaries Review Group. This position will be located in our Chicago office.
This Team Lead will be expected to:
  • Train and lead a team of Compliance Analysts responsible for conducting surveillance of the trading and activity on the IB platform of independent investment advisors and introducing brokers.
    • This will include both reviews of advisors and brokers through the firm's exception-based surveillance reviews and ad hoc investigations.
  • Have a good working knowledge of SEC, FINRA, CFTC, CME, NFA, state and foreign regulations related to investment advisors and introducing brokers.
  • Analyze the results of complex investigations and provide concise written conclusions of your findings to IBKR's Compliance Management and Legal Department.
  • Assist with drafting specifications to create and improve surveillance reports and compliance tools.
  • Conduct supervisory reviews and provide constructive feedback to Analysts.
  • Communicate with U.S. and foreign clients as part of compliance-related reviews.
  • Review and draft Suspicious Activity Reports.


  • 2-5 years' experience related to investment management compliance issues at a regulator, industry association, law firm, compliance firm, an investment advisory firm, or another broker-dealer or FCM are preferred.
  • Prior experience in a highly automated environment and/or high degree of comfort with computers and technology
  • Understanding of how technology is applied to business and regulatory issues.
  • Ability to develop compliance solutions that satisfy relevant regulations while executing sound business judgment.
  • Ability to work in a small-team environment, work independently, and multi-task with minimal supervision.
  • Trading background with the ability to understand and breakdown complex trading strategies.
  • Prior background working compliance investigations.
  • Bachelor's degree or higher with a major or concentration in Finance, Economics, Accounting, or Information Systems, etc.
  • Series 7 license preferred, but not required. Other FINRA licenses a plus.
  • ACAMS, CFE, CFCS certifications a plus.
  • Excellent written and oral communication skills.
  • Knowledge of UNIX, SQL, Visual Basic or Perl is a plus.

Company Overview
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.
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