Compliance Paralegal

  • Competitive
  • Chicago, IL, USA
  • Permanent, Full time
  • Interactive Brokers
  • 12 Dec 18

Compliance Paralegal

Job Description and Responsibilities

Interactive Brokers ("IB") is looking for a Compliance Paralegal at our Chicago, IL office. The Paralegal will provide assistance and administrative support to IB's Compliance Department and will assist in responding to regulatory inquiries and organizing and analyzing materials regarding compliance investigations.

Responsibilities include but are not limited to:

  • Support and assist with research related to regulatory and compliance investigations and supporting senior level personnel.
  • Collect data and communications requested by regulators or compliance personnel.
  • Track and manage regulatory requests, responses and production time-lines.
  • Quality control reviews of production materials.
  • Create, organize, index and maintain electronic and hard-copy case files.
  • Work on and manage specialized projects as necessary.


Qualifications

  • Bachelor's degree.
  • More than 2 years of work experience strongly preferred.
  • Background in the financial services industry would be helpful, but not necessary.
  • Ability to work independently in a fast-paced, dynamic environment.
  • Attentive to detail.
  • Able to prioritize and work on multiple projects simultaneously.
  • Proficiency with desktop applications (Adobe Acrobat, etc.) and MS Office suite of products is required.
  • Proficiency conducting online searches and retrieving relevant information as needed.
  • IT knowledge would be helpful.


Company Overview

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 26 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 797,000 trades per day.¹ 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.

¹Figures as of June 30, 2018.

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