Interactive Brokers Group

4 weeks ago

New Accounts - Open Accounts Associate II-Intermediaries

✓ Verified Job

Canonical indexed version, validated from employer's careers page.

Source: Company careers pageValidated by: Fursa AI

Last checked: 10 hours agoStatus: Live

Job Summary

Process and onboard Introducing Broker clients by reviewing KYC documentation, compiling and validating FINRA packet submissions, and conducting risk assessments that may include negative news research. Coordinate across New Accounts, Compliance, CAC, Legal, and FINRA to guide applications through approvals, manage FINRA gateway tasks, and ensure AML/KYC completion before account opening. Use internal systems to cross-reference FINRA filing IDs, monitor inboxes, and report onboarding progress to senior management.

Location: Chicago

Workplace: Hybrid

Employment Type: Full time

Job Function: Legal, Risk & Compliance

Seniority: Entry level

Key Responsibilities

•Review and assess client application documents for KYC sufficiency.
•Compile and validate FINRA packet submissions and assess applications for potential risk factors.
•Coordinate internally and externally to guide applications through approval steps (Compliance, CAC, Legal, FINRA).
•Liaise between FINRA and IB to address questions raised during FINRA review and maintain FINRA gateway workflows.
•Monitor inboxes, submit and cross-reference FINRA filing IDs in CAST, and compile weekly onboarding progress reports for senior management.

Pay and Benefits

Perks:Annual Bonus401kHealth InsuranceDentalVisionEquityLearning Budget

Key Requirements

•1-3 years of relevant experience in KYC/AML, capital markets, compliance, or capital markets operations.
•Bachelor’s degree in finance, accounting, or economics.
•Understanding of BSA/AML, USA PATRIOT Act, and OFAC principles.
•Comfort with computers/technology and using it to solve business and regulatory problems.
•Knowledge or experience with end-to-end KYC processes; ACAMS/CFE/CFCS/Series 7 or other FINRA licenses/certifications are a plus.

Experience:1-3 yearsCapital marketsAMLKYCCompliance

Education:Bachelor's in finance, accounting, or economics

Skills:Self-motivatedAnalytical thinkingProblem-solvingCollaborationOrganizational and time management

Licenses:Series 7

Certifications:ACAMSCFECFCSSeries 7

Tech Stack:FINRA gatewayCASTGoogle searchesDatabases

Company Brief

Interactive Brokers Group

Operates an electronic trading platform providing brokerage services for individuals and institutions across global markets, offering equities, options, futures, forex, bonds, and related clearing and custody services with advanced trading technology and low-cost executions.

Industry: Trading Platforms

Company Size: Enterprise (1,001+ employees)

Revenue: USD 1B+

Growth: Public Company

Valuation: Public Company (Market Cap in USD)

Funding: IPO / Publicly Listed

Headquarters: Greenwich, United States

Founded: 1977

Website LinkedIn

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Interactive Brokers Group

4 weeks ago

New Accounts - Open Accounts Associate II-Intermediaries

✓ Verified Job

Canonical indexed version, validated from employer's careers page.

Source: Company careers pageValidated by: Fursa AI

Last checked: 10 hours agoStatus: Live

Job Summary

Location: Chicago

Workplace: Hybrid

Employment Type: Full time

Job Function: Legal, Risk & Compliance

Seniority: Entry level

Key Responsibilities

•Review and assess client application documents for KYC sufficiency.
•Compile and validate FINRA packet submissions and assess applications for potential risk factors.
•Coordinate internally and externally to guide applications through approval steps (Compliance, CAC, Legal, FINRA).
•Liaise between FINRA and IB to address questions raised during FINRA review and maintain FINRA gateway workflows.
•Monitor inboxes, submit and cross-reference FINRA filing IDs in CAST, and compile weekly onboarding progress reports for senior management.

Pay and Benefits

Perks:Annual Bonus401kHealth InsuranceDentalVisionEquityLearning Budget

Key Requirements

•1-3 years of relevant experience in KYC/AML, capital markets, compliance, or capital markets operations.
•Bachelor’s degree in finance, accounting, or economics.
•Understanding of BSA/AML, USA PATRIOT Act, and OFAC principles.
•Comfort with computers/technology and using it to solve business and regulatory problems.
•Knowledge or experience with end-to-end KYC processes; ACAMS/CFE/CFCS/Series 7 or other FINRA licenses/certifications are a plus.

Experience:1-3 yearsCapital marketsAMLKYCCompliance

Education:Bachelor's in finance, accounting, or economics

Skills:Self-motivatedAnalytical thinkingProblem-solvingCollaborationOrganizational and time management

Licenses:Series 7

Certifications:ACAMSCFECFCSSeries 7

Tech Stack:FINRA gatewayCASTGoogle searchesDatabases

Company Brief

Interactive Brokers Group

Industry: Trading Platforms

Company Size: Enterprise (1,001+ employees)

Revenue: USD 1B+

Growth: Public Company

Valuation: Public Company (Market Cap in USD)

Funding: IPO / Publicly Listed

Headquarters: Greenwich, United States

Founded: 1977

Website LinkedIn