Job Description
Interactive Brokers is looking for a motivated, IT audit, risk or compliance professional with experience working in financial services, or similar regulated environment.
Responsibilities
The Senior Compliance Analyst’s primary focus will be to:
- Support compliance coverage of the firm’s technology and data enterprise, and coverage for broker-dealer clients
- Design periodic and adhoc supervisory reports and complete associated reviews
- Engage with stakeholders across technology and operations teams and support them in an advisory capacity
- Implement internal control enhancements and appropriately solution potential compliance matters
- Assist draft business specifications to create and improve surveillance and compliance tools
- Assist coordinate responses to regulatory inquiries from foreign and US regulators
- Draft and implement firm policies, controls and written supervisory procedures
Qualifications
- 5+ years’ experience with a broker-dealer, investment manager or regulator
- Solid academic background with a Bachelors or Masters in Finance, Computer Science, Data Sciences or Information Systems preferred
- Working knowledge of SEC, FINRA, CFTC, CME, NFA, US and foreign regulations relevant to the areas of coverage
- Strong working knowledge of industry standards from NIST, ISO, COBIT, ISACA, EDM, etc
- High degree of comfort and fluency with computers and technology, and an understanding of how technology is applied to business and regulatory problems.
- Ability to develop compliance solutions that satisfy relevant regulations while executing sound business judgment
- Ability to work both independently as well as in a small-team environment, and to multi-task with minimal supervision
- Knowledge of information systems, software development, UNIX, SQL, Perl and databases is a plus
Company Benefits & Perks
- Competitive salary, annual performance-based bonus and stock grant
- Retirement plan 401(k) with a competitive company match
- Excellent health and wellness benefits, including medical, dental, and vision benefits. Company paid medical healthcare premium.
- Wellness screenings and assessments, health coaches and counseling services through an Employee Assistance Program (EAP)
- Paid time off and a generous parental leave policy
- Daily company lunch allowance provided, and a fully stocked kitchen with healthy options for breakfast and snack
- Corporate events, including team outings, dinners, volunteer activities and company sports teams
- Education reimbursement and learning opportunities
- Modern offices with multi-monitor setups
Interactive Brokers Group, Inc. (Nasdaq: IBKR) is a global financial services company headquartered in Greenwich, CT, USA, with offices in over 15 countries. We have been at the forefront of financial innovation for over four decades, known for our cutting-edge technology and client commitment.
IBKR affiliates provide global electronic brokerage services around the clock on stocks, options, futures, currencies, bonds, and funds to clients in over 200 countries and territories. We serve individual investors and institutions, including financial advisors, hedge funds and introducing brokers. Our advanced technology, competitive pricing, and global market help our clients to make the most of their investments.
Barron's has recognized Interactive Brokers as the #1 online broker for six consecutive years. Join our dynamic, multi-national team and be a part of a company that simplifies and enhances financial opportunities using state-of-the-art technology.
Top Skills
What We Do
Rated #1 Best Online Broker in 2022 for 5 consecutive years by Barron's.
Interactive Brokers Group (Nasdaq: IBKR) and its predecessor companies have been building trading technology for over 44 years. Interactive Brokers Group’s consolidated equity capital exceeds $10 billion.
Throughout its history, the company’s mission has remained unchanged: Create technology to provide liquidity on better terms. Compete on price, speed, size, diversity of global products and advanced trading tools.
Interactive Brokers LLC is a member of NYSE, FINRA, SIPC. For more information, visit: ibkr.com
