Compliance Analyst – Internal Compliance

  • Competitive
  • Greenwich, CT, USA
  • Permanent, Full time
  • Interactive Brokers
  • 24 Apr 19

Compliance Analyst – Internal Compliance

Job Description and Responsibilities

Interactive Brokers is looking for a motivated and talented compliance analyst who is experienced in general brokerage compliance operations.


The Compliance Analyst will be responsible for

  • Conducting tasks related to employee personal trading, including processing employee disclosure of accounts, setting blackout periods and verifying receipt of duplicate account statements.
  • Assist in maintaining the Firm's record of employee gifts, entertainment, and outside business activities.
  • Monitor hardcopy and electronic correspondence reviews to verify that they are being completed.
  • Conduct annual compliance testing.
  • Coordinate with Regulatory Inquiry staff to ensure that responses to regulators are submitted timely.
  • Administer annual compliance task program for employees.
  • Conduct periodic reviews of employee registrations.
  • Submitting daily responses to regulatory trading inquires (Bluesheets).
  • Assist in conducting ad-hoc compliance-related projects as they arise.


  • 1 - 3 years' experience with the SEC, FINRA, CFTC, NFA, an exchange, law firm, or another broker-dealer or FCM.
  • Appropriate industry registrations (i.e., a Series 7 and/or Series 3 registration) or member in good standing of the bar of any U.S. state or the District of Columbia preferred.
  • 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.
  • Ability to develop compliance solutions that satisfy relevant regulations while executing sound business judgment.
  • 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 LLC, a subsidiary of Interactive Brokers Group, Inc. (IEX: IBKR) is a direct access electronic broker catering to the needs of professional and frequent traders, institutional investors, financial advisors, and introducing brokers. Our clients have access to more than 120 market centers in 31 countries from a single account. We are the lowest cost provider of brokerage services and the largest U.S. electronic broker based on daily average revenue trades executing over 850,000 trades per day.[i] 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.

[i] Figures as of January 1, 2019. Information on the company can be found at