Compliance Officer

A Global Solution for Monitoring Employee Trading Risk

EmployeeTrackSM

A Global Solution for Monitoring Employee Trading Risk.

Employee Track: Compliance Officers Compliance Officers Employee Track: Employee Benefits Employee Benefits Employee Track: Account Structure Account Structure Advisor Services: Open Account Open Account

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EmployeeTrackSM Provides Compliance Officers with Global, Integrated and Auditable Views of Employee Investment Activity

Avoid conflicts of interest and other issues caused by employee investment activities. EmployeeTrackSM helps compliance officers at exchanges, hedge funds, mutual funds, brokers, banks, insurance companies and other professional services firms monitor the global trading activity of employees from over 200 countries and territories.

Compliance Portal is a free tool for managing your EmployeeTrackSM Compliance Program.

  • Manage the pre-trade compliance process for an account, user or account family and limit access by symbol, position, security or timeframe.
  • Audit trail functionality brings transparency to account changes, documentation and exception handling.
  • Support for a “work from home” workforce, with online review of employee statements and account activity.
  • Generate employee-specific or aggregate reports, or query by symbol, volume or account equity.
  • Use the Employee Dashboard to view, search and manage employee accounts from a single, intuitive screen and invite employees to open IBKR accounts.
  • Language support for Simplified and Traditional Chinese, English, French, German, Italian, Japanese and Spanish.
  • IBKR provides a data feed to EmployeeTrack Compliance Officers who want to integrate their data with third-party software.

Your Employees Can Access Markets at Low Costs to Maximize Returns1

EmployeeTrack trading platform benefit

Employees using IBKR benefit from:

  • Access to stocks, options, futures, currencies, bonds and funds on over 150 markets in 34 countries from a single Integrated Investment account.
  • Low margin rates, with rates as low as USD 4.83%.2
  • IBKR BestXTM is a powerful suite of advanced trading technologies designed to help clients achieve best execution and maximize price improvement while minimizing market impact.
  • Our Stock Yield Enhancement Program, which provides employees with an opportunity to earn extra return by lending their fully paid shares to IBKR.3

Employees also gain access to sophisticated market-maker designed technology, multiple desktop and mobile trading platforms, advanced trading tools, 90+ order types and algos, and PortfolioAnalyst, our powerful tool for consolidating, tracking an analyzing personal finances.

EmployeeTrackSM Structure

EmployeeTrackSM provides a simple, cost-effective solution for organizations such as exchanges, hedge funds, mutual funds, brokers, banks, insurance companies, law firms, accounting firms and consulting firms who are required to monitor their employees' trading activity.

Compliance Officers can appoint one or more compliance employees to administer employee accounts any time after the application is complete. These compliance employees can access multiple individual, joint and trust employee accounts for the purpose of monitoring trading activity.

Accounts are accepted from citizens or residents of all countries except citizens or residents of those countries or regions that are on the sanction list of the US Office of Foreign Asset Controls or similar lists, or other countries determined to be higher risk. See all available countries.

Start using EmployeeTrackSM today.

We recommend that a senior member of your firm's compliance group complete this account application. After account approval, you will be able to link your firm's employees who have IBKR accounts, and invite those employees who do not have IBKR accounts to complete Individual Account Applications. The compliance officer name and contact information indicated in your application will be provided to your employees for any follow-up questions.

Onboarding Support and Documentation

Interactive Brokers onboarding support includes assistance with bulk uploading of employee accounts, documentation, permissioning, and employee communications. Please contact your Interactive Brokers representative to learn about additional Onboarding Support capabilities.

Looking for a different account type? Visit our website for information about other Institutional Account Types, or other Individual Account Types.

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Documentation

EmployeeTrack Brochure PDF

Compliance Portal User Guide

Margin borrowing is only for sophisticated investors with high risk tolerance.
You may lose more than your initial investment.
  1. Lower investment costs will increase your overall return on investment, but lower costs do not guarantee that your investment will be profitable.
  2. According to StockBrokers.com Interactive Brokers Review: Read the full article Online Broker Reviews, May 6, 2024. "Professionals can take advantage of industry-leading commissions, including the lowest margin rates across all balance tiers." View our margin rates for more information.
  3. For more info, see ibkr.ie/syep.