Job Description and Responsibilities Interactive Brokers is looking for a motivated and talented compliance analyst to lead the Firm s referral program surveillance efforts. Responsibilities: The Compliance Analyst will be responsible for Conducting surveillance and due diligence of third parties who refer clients to Interactive through the Firm s Referrer Program. Drafting and implementing firm policies, controls and written supervisory procedures designed to ensure the firm s program is in line with regulatory requirements. Helping to craft detailed written instructions for programmers and technology staff to enhance internal controls. Coordinating responses to regulatory inquiries pertaining to the Referrer Program from the US federal, Associated topics: attorney, business, company, compliance department, corporate, counsel, internal, legal affairs, legal department, llp
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