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- Link: Compliance Team Lead – Advisors & Intermediaries Review Group from Interactive Brokers
- Dates: All year 2019.
- Job location: Chicago, USA.
- Job description: Train and lead a team of compliance analysts responsible for conducting surveillance of the trading and activity on the platform. Review advisors and brokers through the firm’s exception-based surveillance reviews and ad hoc investigations. Have a good working knowledge of regulators. Analyze the results of complex investigations and provide concise written conclusions. Assist with drafting specifications to create and improve surveillance reports and compliance tools. Communicate with U.S. and foreign clients. Review and draft suspicious activity reports.
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