This is Hybrid role (4 days in office /1 day remote)

Responsibilities :

• Create and maintain the Annual Financial Crimes test plan covering the different risk areas
• Coordinate day to day execution with offshore Testing team
• Own and update testing framework and supporting templates to be in-line with regulatory requirements and industry standards
• Conduct testing and monitoring activities, including developing test plans, test data collection, develop test instructions, and performing adequacy review of policies and procedures
• Execute hands on testing both functional as well as backend SQL, based on the control setup
• Analyze test results and summarize a list of meaning risk-based observations
• Communicate deficiencies to the business and key stakeholders and exercise credible challenge.
• Assist with preparing executive reports summarizing test results and conclusions
• Provide support with the maintenance of Global Financial Crimes Control Library
• Develop Testing and Monitoring metrics, and contribute to department reporting
• Work collaboratively with stakeholders across the Financial Crimes Compliance program and Engineering teams
• Perform qualitative and quantitative analysis on Financial Crimes control data to assess risk and impact

The ideal candidate will have 6+ years of experience evaluating Anti-Money Laundering (“AML”) controls across Investigations, Sanctions, Enhanced Due Diligence, and Suspicious Activity Reporting with a Financial Institution (preferably at a large broker or other financial institution with an international client base). Additionally, experience in internal audit, legal, accounting, or other control function of a financial services firm or regulator would be beneficial. 

Qualifications:

• Bachelor’s or Master’s Degree
• Knowledge of AML and trading products (Equities, Options, Futures, FOREX, and Crypto) as well as applicable industry standards
• Experience with SQL, Jira and JQL queries 
• Experience in US and Foreign AML Regulatory regimes
• Understanding of financial crimes data and Software Development Life Cycle (“SDLC”)
• High degree of comfort and fluency of how technology is applied to business and regulatory problems
• Excellent oral and written communication skills
• Detail-oriented with organizational and project management skills
• ACAMS, CFE, CFCS, Series 7, or other FINRA licenses or certifications a plus

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

• Self-motivated and able to handle tasks with minimal supervision.
• Superb analytical and problem-solving skills.
• Excellent collaboration and communication (Verbal and written) skills.
• Outstanding organizational and time management skills.

Company Benefits & Perks

This role's anticipated base salary range is $115,000  to $150,000 annually based on skill's and experience. The offered salary is just part of the total compensation package. In addition to a competitive salary, the company offers both a discretionary cash bonus and stock award as well as a wide range of benefits, including health care, tuition reimbursement and much more

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

Responsibilities: 

• Conduct thorough investigations and reviews of client accounts and transactions to identify activity potentially linked to money laundering, terrorist financing, or other financial crimes
• Analyze complex data sets, client profiles, and transaction patterns to identify inconsistencies, anomalies, and red flags
• Prepare clear, well-organized case files and written reports to support findings and decision-making. Collaborate with internal stakeholders to gather information, escalate concerns, and ensure a coordinated response to risk
• Monitor and document activity following internal procedures, regulatory expectations, and best practices
• Stay current with applicable AML/CFT regulations, emerging financial crime trends, and internal policies

Skills:

• Strong analytical and quantitative skills, with the ability to assess large volumes of information and draw meaningful conclusions
• High degree of comfort and fluency with computers and technology, including the ability to navigate complex systems and data tools
• Excellent oral and written communication skills, with the ability to convey complex information clearly and concisely
• Detail-oriented with strong organizational and project management abilities
• Ability to work independently and effectively within a small team environment
• Capable of managing multiple priorities simultaneously with minimal supervision

Qualifications:

• 4 - 8+ years of work experience in AML investigations or related financial crime roles
• College Degree or equivalent work experience preferred
• High level of technical proficiency and understanding of how technology supports business and regulatory requirements
• Strong written and verbal communication skills, including experience drafting investigative narratives or similar reports
• Demonstrated ability to stay organized and meet deadlines in a fast-paced, detail-driven environment.
• Proven ability to work autonomously and collaboratively, managing multiple tasks with a high degree of accuracy
• ACAMS, CFE, CFCS, Series 7, or other relevant certifications or FINRA licenses are a plus.

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

• Self-motivated and able to handle tasks with minimal supervision.
• Superb analytical and problem-solving skills.
• Excellent collaboration and communication (Verbal and written) skills.
• Outstanding organizational and time management skills.

Company Benefits & Perks

This role's anticipated base salary range is $70,000 to $85,000 annually based on skill's and experience. The offered salary is just part of the total compensation package. In addition to a competitive salary, the company offers both a discretionary cash bonus and stock award as well as a wide range of benefits, including health care, tuition reimbursement and much more.

This is Hybrid role (4 days in office /1 day remote)

Interactive Brokers is looking to hire a full-time Quality Assurance Compliance Analyst at the Chicago office. This is a position with excellent growth potential for highly motivated and exceptional performers. Analysts will report to a Quality Assurance Compliance Manager in our Chicago office and will assist with ensuring the firm complies with Bank Secrecy Act, USA PATRIOT Act, anti-terrorist financing, sanctions, industry AML, and securities laws and regulations.

Responsibilities

• Conducting Quality Assurance reviews of account activity, including trading activity, deposit and withdrawal activity, and public domain activity, to determine if activity is in line with IBKR policy
• Advising management by collecting, analyzing, and summarizing data and trends.
• Conduct Quality Assurance reviews on regulatory filings
• Contribute to streamlining current processes and identifying areas for improvement
• Review trading data for suspicious activity or patterns of unusual trading

The ideal candidate will have some regulatory compliance experience working for an exchange, a regulatory organization, a Broker Dealer (BD), a Futures Commission Merchant (FCM) or similar organization. Alternatively, experience in internal audit, legal, accounting or other control function of a financial services firm or regulator would be beneficial. In the absence of direct industry experience, we will also consider applicants with excellent Bachelor’s-level educational credentials who have some background in law, accounting, data analytics or similar areas with strong analytical and quantitative skills. In order to thrive and succeed in a remote work environment candidates must be focused, adaptable, collaborative and have strong time management skills.

Qualifications, Skills & Attributes

Preferred qualifications:

• 2+ years’ work experience in Trade Surveillance
• Strong product knowledge of equity or exchange-traded derivative markets, or, preferably, both
• High degree of comfort and fluency with computers and technology and understanding of how technology is applied to business and regulatory problems.
• Excellent oral and written communication skills
• Detail-oriented with outstanding organizational and project management skills
• Ability to work both independently as well as in a small-team environment, and to multi-task with minimal supervision
• ACAMS, CFE, CFCS, Series 7, or other FINRA licenses or certifications a plus

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

• Self-motivated and able to handle tasks with minimal supervision.
• Superb analytical and problem-solving skills.
• Excellent collaboration and communication (Verbal and written) skills.
• Outstanding organizational and time management skills.

Company Benefits & Perks

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

Interactive Brokers is looking for a motivated, data professional to support the implementation of Data Lineage and Data Governance efforts.

Responsibilities:

The Senior Compliance Data Analyst’s primary focus will be to:

• Support the continued adoption of the Interactive Brokers Data policies and procedures
• Oversee governance efforts to strengthen data lifecycle management across the enterprise
• Collaborate with technical and business stakeholders to strengthen data quality
• Produce source to destination data maps for AML compliance reports and systems
• Design periodic and adhoc supervisory reports and complete associated reviews
• Guide and manage data incidents and remediation
• Implement internal control enhancements and appropriately solution potential compliance matters
• Assist coordinate responses to regulatory inquiries from foreign and US regulators
• Draft and implement firm policies, controls and written supervisory procedures

Qualifications:

• 5-7 years’ experience with a broker-dealer, investment manager or regulator
• Solid academic background with a Bachelors or Masters in Finance, Business, Economics, Computer Science, Data Sciences or Information Systems preferred
• Experience with data catalog, business glossaries, mapping and metadata management tools
• Experience with data classification and data loss protection policies and controls
• Experience with triaging data incidents
• Working knowledge of data related regulations for data management and data protection
• Knowledge of UNIX, SQL, Python and databases is a plus
• Ability to develop 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

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

• Self-motivated and able to handle tasks with minimal supervision
• Superb analytical and problem-solving skills
• Excellent collaboration and communication (verbal and written) skills
• Outstanding organizational and time management skills

Company Benefits & Perks

• Competitive salary, annual performance-based bonus, and stock grant
• Retirement plan 401(k) with competitive company match
• Excellent health and wellness benefits, including medical, dental, and vision coverage; company-paid medical healthcare premium
• Wellness screenings and assessments, health coaches, and counseling services through an Employee Assistance Program (EAP)
• Daily company lunch allowance and a fully stocked kitchen with healthy options for breakfast and snacks
• Corporate events, including team outings, dinners, volunteer activities, and company sports teams
• Education reimbursement and learning opportunities

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

Interactive Brokers is looking for a motivated, IT security, risk or audit professional with experience working in financial services, or similar regulated environment.

Responsibilities:

The role’s primary focus will be to:

• Support compliance coverage of the firm’s technology enterprise
• Design testing and complete reviews for Cyber, information security, and privacy initiatives.
• Guide stakeholders across security engineering and cyber defence teams
• Support incident response efforts and related documentation
• Implement internal control enhancements and appropriately solution potential compliance matters.
• Draft business requirements to create and improve surveillance and compliance tools.
• Assist coordinate responses to regulatory inquiries from foreign and US regulators.
• Draft and implement firm policies, controls and written supervisory procedures.

Qualifications

• 5-7 years’ experience working with IT risk or security teams
• Solid academic background with a Bachelors or Masters in Cybersecurity, Computer Science, Data Sciences or Information Systems preferred
• Experience with incident management, developing incident playbooks and table tops
• Experience working with SIEM tools or working knowledge of such tools
• Experience with log analysis
• Experience with privacy and data protection
• Ability to work both independently as well as in a small-team environment, and to multi-task with minimal supervision
• Strong working knowledge of industry standards from NIST, ISO, COBIT, ISACA, EDM, etc Knowledge of SEC, FINRA, CFTC, CME, NFA, US and foreign regulations is a plus.
• Knowledge of attack frameworks and kill chain methodology.

Company Benefits & Perks

Role Overview

Interactive Brokers seeks an FIU Analyst who is hard-working, detail-oriented, careful and a problem solver. This Analyst will assist in reviewing and analyzing the firm's customers' cashiering activities per the firm's AML/CTF policy. This role requires high energy and learning new skills in a dynamic environment.

Responsibilities

The role has regional responsibility and will involve:

• Assist in the monitoring and surveillance of cashiering transactions by IBKR clients in the Asia Pacific region
• Communicate with clients on monitoring and surveillance-related matters.
• Reviewing and providing suggestions to enhance existing surveillance systems/reports.
• Manage projects to build and implement approved enhancements and changes required due to regulatory changes. 
• Staying up to date with changes in market conduct, AML and other related regulations,
• Staying up to date with APAC and international developments in relevant areas of regulations and law.

Required Qualifications and Skills:

• Familiarity with AML/CTF Rules. 
• Experience in dealing with exchange and regulatory enquiries.
• Fluency in English (both written and spoken) is essential.
• Good communication skills and customer service experience would be advantageous.
• Good quantitative, analytical, and problem-solving skills
• Solid academic background with relevant qualifications
• Knowledge on AI/Machine Learning would be advantageous
• Have a "can do" attitude and willingness to learn.
• Good organizational skills with the ability to multi-task, prioritize and work with minimal supervision
• A high degree of comfort and fluency with computers and technology and an understanding of how technology is applied to business and regulatory problems or an ability to develop this rapidly

Company Benefits & Perks

• Competitive Salary, annual performance-based bonus and stock grant
• Excellent health and welfare benefits including medical, dental, specialist and in-patient  
• Competitive package of Annual Leave
• Daily lunch ordered in house with fully stocked kitchen
• Great work life balance
• Unique opportunity to gain exposure to global financial products, markets and clientele
• Opportunities for career progression and job scope expansion in a global company with growing local presence
• Hybrid work arrangement role permitting

About the Role

We are seeking a highly motivated and experienced Compliance Officer to join our GIFT IFSC entity. The ideal candidate will play a pivotal role in ensuring our operations adhere to all applicable laws, regulations, and internal policies of the International Financial Services Centers Authority (IFSCA), SEBI, and other relevant regulatory bodies. This position requires a proactive approach to identifying and mitigating compliance risks, while fostering a culture of integrity and regulatory adherence across the organization.

Key Responsibilities

• Regulatory Compliance: Ensure strict adherence to IFSCA regulations, SEBI guidelines, and other applicable laws. Stay current with regulatory changes and implement necessary adjustments to policies and procedures.
• Policy Development & Implementation: Develop, maintain, and update internal compliance policies and procedures. Ensure these are effectively communicated and understood by all relevant stakeholders.
• Risk Assessment & Monitoring: Conduct regular risk assessments to identify potential compliance issues. Implement monitoring systems to ensure ongoing compliance and promptly address any gaps or issues.
• Training & Awareness: Lead training sessions for employees on compliance requirements and best practices. Ensure all staff are aware of and adhere to compliance policies.
• Internal Audits: Conduct internal audits to evaluate compliance with regulatory requirements. Identify and address any compliance gaps or issues.
• Reporting: Prepare and present regular reports to senior management and regulatory authorities on compliance status and any issues identified. Serve as the primary point of contact for regulatory inquiries and submissions.
• Data Management: Maintain accurate and up-to-date records of compliance activities, audits, and regulatory communications. Ensure data integrity and confidentiality.

Qualifications

• Education & Certification: Qualified Company Secretary from ICSI (Institute of Company Secretaries of India). Additional qualifications such as CAMS, ACCA, or a relevant law degree are highly desirable.
• Experience: Minimum of 2 years of experience in compliance, risk management, or a related field, preferably in the financial services industry. Experience with IFSCA regulations or similar regulatory frameworks is highly desirable.

• Skills:
• Strong understanding of financial regulations and compliance requirements.
• Excellent analytical and problem-solving skills.
• Strong attention to detail and ability to manage multiple tasks simultaneously.
• Excellent communication and interpersonal skills.
• Proficiency in MS Office and compliance management software.

Why Join Us?

At Interactive Brokers, we are committed to providing a secure, efficient, and compliant trading environment for our clients. As a Compliance Officer, you will play a crucial role in maintaining our high standards of integrity and regulatory compliance. You will work in a dynamic, fast-paced environment with a team of professionals dedicated to excellence.

Company Benefits & Perks: 

• Competitive salary package.
• Performance based annual bonus (cash and stocks).
• Hybrid working model (4 days office/week).
• Group Medical & Life Insurance.
• Modern offices with free amenities & fully stocked cafeterias.
• Monthly food card & company paid snacks.
• Hardship/shift allowance with company provided pickup & drop facility*
• Attractive employee referral bonus.
• Frequent company sponsored team building events and outings.

* Depending upon the shifts.

**The benefits package is subject to change at the management's discretion.

This is Hybrid role (4 days in office / 1 day remote)

Interactive Brokers is looking to hire Trade Surveillance Analysts (temps) for a six-month assignment in its Chicago, Illinois, office. This entry-level position has excellent growth potential for highly motivated and exceptional performers. Analysts will report to a Compliance Manager and help ensure the firm complies with the Bank Secrecy Act, USA PATRIOT Act, anti-terrorist financing, sanctions, industry anti-money laundering, and securities laws and regulations.

Day-to-day responsibilities include:

• Conducting account activity reviews, including trading, deposit and withdrawal, and public domain activity, to determine if the activity aligns with IBKR policy.
• Advising management by collecting, analyzing, and summarizing data and trends. 
• Preparing regulatory filings.
• Contribute to streamlining current processes and identifying areas for improvement.
• Review trading data for suspicious activity or patterns of unusual trading.

The ideal candidate will have 1-3 years of regulatory compliance experience working for an exchange, a regulatory organization, a broker-dealer (BD), a futures commission merchant (FCM) or a similar organization. Alternatively, experience in internal audit, legal, accounting, or other control functions of a financial services firm or regulator would be beneficial. Absent direct industry experience, we will also consider applicants with excellent bachelor ’s-level educational credentials, some background in finance, economics, data analytics, or similar areas, and strong analytical and quantitative skills.

Qualifications, Skills & Attributes:

• Strong product knowledge of equity or exchange-traded derivative markets’ or, preferably, both
• High degree of comfort and fluency with computers and technology and understanding of how technology is applied to business and regulatory problems
• Excellent oral and written communication skills
• Detail-oriented with outstanding organizational and project management skills
• Ability to work both independently as well as in a small-team environment and to multi-task with minimal supervision
• ACAMS, CFE, CFCS, Series 7, or other FINRA licenses or certifications a plus

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

• Self-motivated and able to handle tasks with minimal supervision.
• Superb analytical and problem-solving skills.
• Excellent collaboration and communication (Verbal and written) skills.
• Outstanding organizational and time management skills.

Company Benefits & Perks

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

Interactive Brokers is looking for an experienced Data Analyst with data analysis experience, preferably in the commodities or securities industry. This position is responsible for handling compliance supervision over reporting to various non-financial systems. Prior experience working with order audit trail reporting systems, order handling or trading systems, or client data is highly desired but not required.

Responsibilities:

This position is focused on the Consolidated Audit Trail (“CAT”) reporting systems and compliance supervision to ensure that the firm has complied with the rules. This is an operational and oversight function that requires the ability to read regulations, research and analyze data, understand technical implementations of systems, and devise control procedures to test compliance.

Experience in researching transactional reporting issues to form evidence-based conclusions is a necessary skill. Experience in data analysis and/or system development or improvement is strongly preferred. While preference will be given to individuals with financial services industry experience, similar compliance experience in another industry will also be considered.

Specific Job Responsibilities:

• 1–2 years of experience as a Data Analyst/Data Scientist
• Reviewing regulatory data to identify root causes and necessary remediation for errors
• Using UNIX command tools to make corrections to records as needed
• Developing surveillance for regulatory reporting and operational data
• Automating the CAT Feedback system
• Following up with software developers and/or management on any errors or exceptions that arise
• Gathering facts to assist the firm in responding to examinations and formal inquiries
• Proposing improvements to, or additional controls over, regulatory reporting

Qualifications:

• Bachelor’s degree required, preferably in a quantitative or analytical field
• Experience in an analytical role, preferably in the financial industry
• Strong data analysis, investigatory, and problem-solving skills
• The ideal candidate would have some degree of self-sufficiency in performing data analysis using common programming languages (e.g., Python, Perl) and database queries (e.g., SQL)
• Regulatory research and interpretation skills
• Strong written and verbal communication skills, including the ability to discuss and write about complex topics in a manner that is both precise and persuasive
• Familiarity with, or the ability to learn, advanced Excel skills is required (e.g., pivot tables, macros)

Familiarity with the following is a plus:

• FINRA Consolidated Audit Trail (“CAT”) / Order Audit Trail (“OATS”) systems
• FIX protocol

Technological orientation is required, with the following specific skills highly valued:

• UNIX knowledge is part of this job and must be learned on the job, but prior experience is preferred
• Programming skills in Python, Perl, or Go are highly desirable
• Experience using Atlassian systems (e.g., Confluence and JIRA) is a plus

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

• Self-motivated and able to handle tasks with minimal supervision
• Superb analytical and problem-solving skills
• Excellent collaboration and communication (verbal and written) skills
• Outstanding organizational and time management skills

Company Benefits & Perks

• Competitive salary, annual performance-based bonus, and stock grant
• Retirement plan 401(k) with competitive company match
• Excellent health and wellness benefits, including medical, dental, and vision coverage; company-paid healthcare premium
• Wellness screenings and assessments, health coaches, and counseling services through an Employee Assistance Program (EAP)
• Daily company lunch allowance and a fully stocked kitchen with healthy options for breakfast and snacks
• Corporate events, including team outings, dinners, volunteer activities, and company sports teams
• Education reimbursement and learning opportunities

Responsibilities

• Client Outreach & Relationship Management: Serve as the primary point of contact for Chinese-speaking clients across the Compliance unit, including Enhanced Due Diligence (EDD), Financial Intelligence Unit (FIU), and Trade Surveillance teams
• Communication & Liaison: Conduct client outreach in Mandarin to explain compliance requirements, gather information, and facilitate smooth communication between clients and internal compliance teams
• Stakeholder Inquiries: Assist in handling inquiries from internal and external stakeholders in the region by coordinating client responses and documentation in Chinese and English
• Documentation & Reporting: Prepare clear and accurate reports, summaries, and correspondence in both Mandarin and English for internal stakeholders and management
• Process Improvement: Provide suggestions to enhance client communication processes and outreach strategies for better engagement with Chinese-speaking clients

Qualifications, Skills & Attributes

Required Qualifications and Skills

• Language Skills: Native or fluent proficiency in Mandarin Chinese (written and spoken) is essential; strong English proficiency (written and spoken) is required
• Industry Experience: Relevant experience in financial services, compliance, risk management, or client-facing roles within financial institutions
• Compliance Knowledge: Familiarity with financial crime compliance concepts including AML/KYC, Enhanced Due Diligence (EDD), suspicious activity monitoring, and trade surveillance
• Communication Skills: Excellent interpersonal and communication skills with the ability to explain complex compliance matters clearly to clients from diverse backgrounds
• Client Management: Proven ability to build and maintain professional relationships with clients while managing sensitive and confidential information
• Organizational Skills: Strong organizational abilities with capability to prioritize multiple tasks and work independently in a dynamic and fast-paced environment
• Cultural Awareness: Deep understanding of Chinese business culture and practices
• Attitude: Have a "can-do" attitude, willingness to learn, and ability to work collaboratively across teams
• Technology: Comfortable with computers, compliance systems, and technology applications in business and regulatory contexts

Desired Qualifications

• Prior experience in financial crime compliance roles (AML, KYC, EDD, FIU, or Trade Surveillance)
• Knowledge of Chinese and international regulatory requirements related to financial crime compliance
• Familiarity with compliance monitoring systems and case management tools
• Cantonese language ability is a plus
• Experience working in multinational financial institutions or brokerage firms
• Ability to work effectively in a small team environment with minimal supervision

Company Benefits & Perks

Responsibilities

Interactive Brokers is looking to hire a Compliance Manager / Assistant Manager (Core Compliance) based in Hong Kong for the APAC region (Singapore, Australia, and Hong Kong). The position will report regionally to the Head of Core Compliance (APAC) based in Singapore. The main responsibilities for this role include:

• Liaising and communicating with regulators
• Researching, interpreting and advising the firm regarding compliance with laws, regulations and guidance applicable to brokers in Hong Kong, Singapore, Australia;
• Drafting and implementing policies and procedures to comply with regulatory requirements
• Preparing written responses to regulatory enquiries
• Managing relevant regulatory inspection and audit reviews, including developing and implementing the relevant remedial action plans to address any findings.

Required Qualifications and Skills:

• Must be a self-starter with strong analytical skills;
• Strong organizational skills with the ability to prioritize and work independently in a dynamic and fast-pace working environment;
• Comfort with computers and technology, and understanding of how technology is applied to business and regulatory problems.
• Excellent oral and written communication skills.
• Ability to develop compliance solutions that satisfy relevant regulations while executing sound business judgment.
• Ability to work in a small-team environment and collaboratively.
• Proven experience and track record at a financial services regulatory agency, exchange or licensed financial services firm;
• Familiarity with the Hong Kong or regional regulatory requirements;
• A “can do” attitude with a willingness to learn.

Company Benefits & Perks