Samuel Farrell

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Interactive Brokers LLC (Chicago, IL) February 2023 – Present

Compliance Analyst, Trade Surveillance

• Conduct trade surveillance and escalate suspicious activity across equities, options, and other derivatives markets, ensuring compliance with regulatory standards
• Draft and submit regulatory filings, including Suspicious Activity Reports (SARs), for transactions exceeding $25M under BSA/AML guidelines. 
• Assist in investigations of rare and complex market manipulation patterns. 
• Partner with management to streamline surveillance workflows and resolve procedural inefficiencies

• Executed discretionary and systematic trades in equities, ETFs, FX, and cryptocurrencies, optimizing order timing, slippage, and cost efficiency. 
• Developed and backtested rule-based strategies using technical indicators, order book data, and macroeconomic research, producing 5% annualized alpha over benchmark.
• Built custom indicators and scripts in Thinkorswim and TradingView to identify high-probability setups.
• Applied portfolio risk management techniques to maintain capital efficiency and limit drawdowns

Education

Northwestern University (Evanston, IL) March 2023

Fintech Boot Camp

• Topics Covered: Financial Programming, Applied Machine Learning, Blockchain Technology

Bachelor of Arts in Economics, Minor in Business

• Relevant Coursework: Corporate Finance, Monetary Economics & Policy, Applied Econometrics

Associate of Science