Senior Regulatory Margin Analyst
4 weeks ago
The Margin Analyst helps ensure regulatory compliance with the margin rules (e.g., Regulation T, FINRA rule 4210) for our US-registered broker-dealer and FCM.
This position will require a highly organized, analytical thinker who is persistent and resourceful in getting the correct answer. Candidates with intellectual curiosity and attention to detail will thrive in this role. The ability to streamline and automate manual processes will be highly valued. The position is within a newly formed group in the Financial Regulatory team at Interactive Brokers, so this is an opportunity to be an inaugural team member and contribute to the structure and design of the function.
Responsibilities
- Ensure margin requirements are accurate and in regulatory compliance
- Review and ensure the accuracy of daily margin reports
- Work with cross-functional groups to ensure margin calls are addressed timely.
- File extension of time requests under Reg T and FINRA Rule 4210
- Prepare the weekly portfolio margin and the monthly FINRA Rule 4521(d) submissions.
- Participate in credit and margin industry roundtable discussions
- Assist with any portfolio margin application amendments
- Keep track of new rules and requirements.
- Research regulatory impact of new business initiatives on margin policies.
- Learn regulatory jurisdictions outside of the US and the interplay of regulatory rules between jurisdictions affecting our inter-affiliate transactions
- Continue to improve automation for all aspects of regulatory requirements.
- Further document and improve regulatory controls and procedures.
- Participate in external audits and queries from regulators and auditors
Qualifications
- Five-plus years of margin operations experience related to Regulation T, FINRA Rule 4210 and JAC FCM Margin
- Prior experience in a highly automated environment and the ability to recommend a system or process improvements is a plus.
- Bachelor's or higher degree
- Familiarity with retail and prime brokerage operations
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
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