Junior Compliance Associate - Securities/Commodities
Overview :
Interactive Brokers , a Global Securities and Commodities business leader and one of the largest financial services firms in the U.
S.
has an immediate need for a Compliance Associate in our Chicago office.
This position has excellent growth potential for highly motivated and exceptional performers.
The ideal candidate some regulatory compliance experience working for an exchange, a regulatory organization, a Broker Dealer (BD), a Futures Commission Merchant (FCM) or similar organization.
Other acceptable experience would include internal audit, legal, accounting or other control function of a financial services firm or regulator.
In the absence of direct industry experience , we will also consider applicants with excellent Bachelor's-level educational credentials who have some background in accounting, computer science or similar areas with strong analytical and quantitative skills.
Responsibilities :
Investigating factual and regulatory rule background behind client trading and financial activity Preparing and drafting regulatory correspondence Creating, reviewing and following up on surveillance reports of financial and trading activity Preparing regulatory filings Assisting with Anti-Money Laundering Program Developing knowledge about the firm's computer systems and trading processes Qualifications :
Must have a college degree with strong grades; acceptable majors include:
Finance, Accounting, Computer Science or Information Systems Must be a detail-oriented person Have the ability to understand regulatory rules and client financial activity and trading strategies.
High proficiency with desktop applications and MS Office suite of products is required.
Knowledge of UNIX, SQL, Perl is a plus.
Must be comfortable working in an automated, hands-on environment.
Excellent written and oral communication skill sets are important prerequisites.
Junior Compliance Associate - Securities/Commodities.
Estimated Salary: $20 to $28 per hour based on qualifications.
Interactive Brokers , a Global Securities and Commodities business leader and one of the largest financial services firms in the U.
S.
has an immediate need for a Compliance Associate in our Chicago office.
This position has excellent growth potential for highly motivated and exceptional performers.
The ideal candidate some regulatory compliance experience working for an exchange, a regulatory organization, a Broker Dealer (BD), a Futures Commission Merchant (FCM) or similar organization.
Other acceptable experience would include internal audit, legal, accounting or other control function of a financial services firm or regulator.
In the absence of direct industry experience , we will also consider applicants with excellent Bachelor's-level educational credentials who have some background in accounting, computer science or similar areas with strong analytical and quantitative skills.
Responsibilities :
Investigating factual and regulatory rule background behind client trading and financial activity Preparing and drafting regulatory correspondence Creating, reviewing and following up on surveillance reports of financial and trading activity Preparing regulatory filings Assisting with Anti-Money Laundering Program Developing knowledge about the firm's computer systems and trading processes Qualifications :
Must have a college degree with strong grades; acceptable majors include:
Finance, Accounting, Computer Science or Information Systems Must be a detail-oriented person Have the ability to understand regulatory rules and client financial activity and trading strategies.
High proficiency with desktop applications and MS Office suite of products is required.
Knowledge of UNIX, SQL, Perl is a plus.
Must be comfortable working in an automated, hands-on environment.
Excellent written and oral communication skill sets are important prerequisites.
Junior Compliance Associate - Securities/Commodities.
Estimated Salary: $20 to $28 per hour based on qualifications.
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