AML - Compliance Intake Administrator

About the Company

Interactive Brokers Group, Inc. (NASDAQ: IBKR), a member of the S&P 500, is a global financial services company headquartered in Greenwich, Connecticut, with offices in over 15 countries. Through its affiliates, Interactive Brokers provides automated trade execution and custody of securities, commodities, foreign exchange, and prediction markets on over 170 markets in numerous countries and currencies.

For more than four decades, Interactive Brokers has focused on technology, automation, and innovation to provide clients worldwide with a sophisticated, unified platform to manage their investment portfolios. We serve individual investors, hedge funds, proprietary trading groups, financial advisors, and introducing brokers.

Our culture is driven by problem-solving, efficiency, and continuous improvement. We look for individuals who are intellectually curious, collaborative, and motivated to contribute to technology that helps simplify and enhance access to global financial markets. Interactive Brokers has consistently been recognized as a top broker by respected industry sources including Barron’s, Investopedia, Stockbrokers.com, and others.

This is a hybrid role (4 days in the office/1 day remote).

Interactive Brokers LLC seeks a a Compliance Intake Analyst for the Regulatory Correspondence Unit in its Chicago Office. This role will report to the Regulatory Correspondence Unit Head, operating as part of a broader team to help ensure that the Firm complies with Bank Secrecy Act, USA PATRIOT Act, anti-terrorist financing, sanctions, industry Anti-Money Laundering (AML), and securities laws, rules, and regulations.

This position is well-suited for a detail-oriented professional, as the role focuses heavily on accurate data entry, email correspondence management, and document processing.

Responsibilities:

• With limited oversight, own the Regulatory Correspondence intake process by:
  • Identifying and assessing inquiries from regulatory and law enforcement authorities and
  • Timely creating and assigning related matters within internal case management.
• Monitor regulatory response timelines and facilitate timely regulatory productions.
• Communicate with regulators, law enforcement officials, and IB stakeholders regarding case status.
• Escalate matters to Regulatory Correspondence management as appropriate.
• Involvement in special projects as necessary

Qualifications:

• Entry-level/early career position (0 – 3 years of job experience)
• Outstanding organizational and time management skills are a must.
• Familiarity with financial services regulatory environment (broker-dealer, investment adviser, futures commission merchant, etc.) is helpful but not required.
• Solid academic background – Bachelor’s Degree or equivalent experience.
• Ability to work independently in a small team environment and manage competing priorities.
• Clear, concise communication skills.
• High degree of comfort with technology and ability to quickly learn IB systems.

Company Benefits:

• Competitive salary, annual performance-based bonus, and stock grant awards
• 401(k) retirement plan with competitive company match
• Excellent health and wellness benefits, including medical, dental, and vision benefits. 100% employer-paid medical premiums, with generous employer contributions to dental & vision plans as well.
• Wellness screening and assessments, health coaches, and counseling services through an Employee Assistance Program (EAP)
• Generous paid parental leave (up to 16 weeks paid parental leave for eligible employees)
• Company-paid basic life insurance, accidental death & dismemberment (AD&D), and short- and long-term disability coverage
• Flexible Spending Accounts (Healthcare, Dependent Care, and Commuter FSAs)
• Quarterly fitness stipend to offset costs associated with traditional gym and fitness memberships or fees
• Education reimbursement and professional development opportunities
• Legal services, telehealth access, and voluntary insurance options
• Backup child and adult care support through Care.com
• Daily lunch allowance and fully stocked kitchen with healthy breakfast and snack options