🎁 Interactive Brokers | Compliance Analyst – Internal Compliance


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  • Link: Compliance Analyst – Internal Compliance from Interactive Brokers

  • Dates: All year 2019.
  • Job location: Greenwich, USA.
  • Job description: Conduct tasks related to employee personal trading, set blackout periods and verify receipt of duplicate account statements. Maintain the Firm’s record of employee gifts, entertainment, and outside business activities. Monitor hardcopy and electronic correspondence reviews. Conduct annual compliance testing. Coordinate with Regulatory Inquiry staff to ensure that responses are submitted timely. Administer annual compliance task program for employees. Conduct periodic reviews of employee registrations. Submit daily responses to regulatory trading inquires.