If you are an institution, click below to learn more about our offerings for RIAs, Hedge Funds, Compliance Officers and more.

Compliance Officer


A Global Solution for Monitoring Employee Trading Risk

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to learn more.

Global, Integrated and Auditable Views of Employee Trading Activity

Interactive Brokers supports employee accounts in more than 225 countries and territories around the world. Our EmployeeTrack compliance program provides compliance officers with a way of monitoring employee trading risk regardless of employee location.

Compliance Portal is a free tool for managing your EmployeeTrackSM Compliance Program.
  • Manage the pre-trade compliance process:
    • Apply rules to an account, user or account family. Account family rules are automatically applied to new family accounts.
    • Limit access to symbols, positions, products or security types during defined timeframes.
  • Audit trail functionality brings transparency to account changes, documentation and exception handling.
  • 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

Employees using IBKR benefit from:
  • Access to stocks, options, futures, forex, fixed income and more on over 135 markets in 33 countries from an Integrated Investment account.
  • Lowest commissions4, no ticket charges, no minimums and no technology, software, platform or reporting fees.
  • Lowest margin rates4 and enhanced order execution via IB SmartRoutingSM helps to minimize costs to maximize employee returns1.
  • Our Stock Yield Enhancement Program, which provides employees with an opportunity to earn extra return by lending their fully paid shares to IBKR5.

Employees also gain access to sophisticated market-maker designed technology, multiple desktop and mobile trading platforms, advanced trading tools, 60+ order types and algos, and flexible API solutions.

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, trust and IRA employee accounts for the purpose of monitoring trading activity.

Accounts are accepted from citizens or residents of all countries except citizens or residents of countries sanctioned by the U.S. Treasury's Office of Foreign Asset Control, including the Balkans, Belarus, Burma, Cote D'Ivoire (Ivory Coast), Cuba, Democratic Republic of Congo, Iran, Iraq, Liberia, North Korea, Sudan, Syria, and Zimbabwe.

EmployeeTrack Structure

Start using EmployeeTrackSM today.

Open an Account

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 IB accounts, and invite those employees who do not have IB 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.

For information on SIPC coverage on your account, visit www.sipc.org or call SIPC at 1 (202) 371-8300.

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. Annual Percentage Rate (APR) on USD margin loan balances for IBKR Pro as of 7/8/20. Interactive Brokers calculates the interest charged on margin loans using the applicable rates for each interest rate tier listed on its website. For additional information on margin loan rates, see ibkr.co.uk/interest.
  3. Based on independent measurements, the IHS Markit, a third-party provider of transaction analysis, has determined that Interactive Brokers' US stock price executions were significantly better than the industry's during the first half of 2020.
  4. According to StockBrokers.com 2019 Annual Review. For more information see, www.ibkr.com/info.
  5. For more info, see ibkr.com/syep.