Senior Analyst - Compliance Chicago, IL

Overview

Interactive Brokers Group, Inc. (Nasdaq: IBKR) is a global financial services company headquartered in Greenwich, CT, USA, with offices in over 15 countries. We have been at the forefront of financial innovation for over four decades, known for our cutting-edge technology and client commitment.

IBKR affiliates provide global electronic brokerage services around the clock on stocks, options, futures, currencies, bonds, and funds to clients in over 200 countries and territories. We serve individual investors and institutions, including financial advisors, hedge funds and introducing brokers. Our advanced technology, competitive pricing, and global market help our clients to make the most of their investments.

Barron’s has recognized Interactive Brokers as the #1 online broker for six consecutive years. Join our dynamic, multi-national team and be a part of a company that simplifies and enhances financial opportunities using state-of-the-art technology.

This is a hybrid role (three days in the office, two days remote).

Interactive Brokers is seeking a Senior Analyst – Compliance for its Chicago, IL office. This position offers strong growth potential for highly motivated and high-performing individuals. The Senior Analyst will report to a Compliance Manager and help ensure the firm complies with the Bank Secrecy Act, USA PATRIOT Act, counter-terrorist financing regulations, sanctions programs, and applicable AML and securities laws. This is a hybrid position;

employees are expected to be in the office three days per week, with Monday as a mandatory in-office day.

• Review and analyze correspondent clients’ AML programs, KYC profiles, and transactions in accordance with established procedures and IBKR policy.
• Draft comprehensive risk assessments for correspondent clients.
• Collaborate with internal stakeholders to complete reviews and improve client efficiency.
• Maintain accurate tracking of assignments and documentation requests to meet deadlines.
• Escalate and investigate issues identified during reviews.
• Contribute to process improvements and identify areas for operational efficiency.
• Assist in drafting, training, and maintaining procedures and related documentation.
• Serve as a subject matter expert for CAFFI (Correspondent Account for Foreign Financial Institution) reviews.

Experience

Required experience includes working for an exchange, broker-dealer, FCM, or similar organization, with demonstrated expertise in auditing AML programs and compliance frameworks. Experience in internal audit, testing, legal, accounting, or other control functions within a financial services firm or regulator is highly desirable. This includes:

• AML program assessment and testing
• CDD and EDD program evaluation
• KYC program auditing
• Transaction monitoring, system testing, or audit

Candidates should demonstrate:

• Ability to assess AML control effectiveness, identify gaps, and recommend remedial measures
• Familiarity with current and emerging trends in AML, trade, and sanctions
• Understanding of risks associated with digital assets and complex ownership structures
• Minimum of three years conducting AML compliance audits or EDD reviews of complex organizations

Education

Bachelor’s degree or higher preferred. Relevant fields include accounting, criminal justice, finance, law, or similar disciplines, with strong analytical and quantitative skills.

Other Qualifications

• Focused, adaptable, and collaborative, with strong time management and issue-spotting skills
• Excellent oral and written communication skills
• Detail-oriented
• Able to work independently and in small teams, and to multitask with minimal supervision
• Proficient in Excel, Word, and Power Point
• Comfortable with new technologies
• ACAMS certification

Preferred Qualifications

The ideal candidate may also possess:

• CFE, CFCS, Series 7, or other FINRA certifications
• Advanced degree in finance, law, or criminal justice
• Experience conducting EDD reviews of foreign financial institutions

To be successful in this position, you will have the following:

To succeed in this role, you should be:

• Self-motivated and able to work with minimal supervision
• Skilled in analytical thinking and…