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Dispute Resolution Analyst I – managing client complaints & regulatory compliance at Interactive Brokers in Mumbai
Detail-oriented, analytical professional required to investigate and resolve complex complaints across markets and platforms.
About the Company
Interactive Brokers Group, Inc. (NASDAQ: IBKR), a member of the S&P 500, is a global financial services company headquartered in Greenwich, Connecticut, with offices in over 15 countries. Through its affiliates, Interactive Brokers provides automated trade execution and custody of securities, commodities, foreign exchange, and prediction markets on over 170 markets in numerous countries and currencies.
For more than four decades, Interactive Brokers has focused on technology, automation, and innovation to provide clients worldwide with a sophisticated, unified platform to manage their investment portfolios. We serve individual investors, hedge funds, proprietary trading groups, financial advisors, and introducing brokers.
Our culture is driven by problem-solving, efficiency, and continuous improvement. We look for individuals who are intellectually curious, collaborative, and motivated to contribute to technology that helps simplify and enhance access to global financial markets. Interactive Brokers has consistently been recognized as a top broker by respected industry sources including Barron’s, Investopedia, Stockbrokers.com, and others.
About the Role
Interactive Brokers is seeking a detail-oriented and analytical professional to join our Dispute Resolution team. This role is critical in maintaining client trust and regulatory compliance by investigating and resolving complex client complaints and regulatory inquiries. The ideal candidate will combine strong analytical skills with exceptional written communication to deliver professional, compliant resolutions.
Position Overview
As a Case Manager - Dispute Resolution, you will investigate client complaints using proprietary systems and external platforms, analyze trading activity, and provide clear, well-documented resolutions to client concerns and regulatory matters.
Key Responsibilities
Complaint Investigation & Resolution
- Conduct comprehensive investigations into client complaints across equities, options, futures, forex, and fixed income, including:
- Trade Execution Issues: Order routing, non-executions, delayed executions, erroneous fills, and execution quality concerns
- Account Funding: Deposit/withdrawal delays, rejected transactions, third-party fees, and asset transfer issues
- Corporate Actions: Dividend payments, stock splits, mergers and acquisitions, and other corporate event processing
- Reporting & Tax Matters: Cost basis discrepancies, dividend allocation, and withholding tax concerns
- Platform & Technology: Connectivity issues, platform functionality, and data discrepancies
- Account Administration: Margin calls, liquidations, interest charges, and fee disputes
- Client Service Quality: Communication concerns and service level complaints
Documentation & Communication
- Prepare clear, professional written responses that comply with regulatory requirements and internal policies
- Document findings with supporting evidence and maintain detailed case records
- Meet regulatory deadlines for complaint acknowledgment, investigation, and resolution
- Translate complex technical and market concepts into client-friendly language
- Escalate systemic issues with comprehensive summaries and actionable recommendations
Process Improvement
- Identify trends in client complaints to recommend preventative measures
- Contribute to knowledge base articles and internal procedures
- Participate in cross-functional projects to enhance client experience
Required Qualifications
Education: Bachelor's degree in Finance, Economics, Business Administration, Accounting, or related field (or equivalent professional experience)
Experience: Minimum 3-5 years in financial services, with preference for:
- Client complaint handling or dispute resolution
- Brokerage operations or trade support
- Banking operations or client relations
Skills:
- Strong written and verbal communication skills
- Proficiency in Microsoft Word & Excel
- General knowledge of financial markets and products
- Fluency in English (additional languages a plus)
Valued Additional Experience
- Programming skills – valuable for data analysis and process automation
- Proficiency with AI tools for enhanced research, analysis, and productivity
- Experience with Bloomberg Terminal or similar market data platforms
Company Benefits & Perks
- Competitive salary package.
- Performance-based annual bonus ( cash and stocks ).
- 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