Technology Compliance

3 weeks ago

Greenwich, Connecticut, United States Interactive Brokers Full time
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

  • Compliance Associate – Electronic Trading Compliance

    3 weeks ago

    Greenwich, Connecticut, United States Interactive Brokers Full time

    About INTERACTIVE BROKERSThis is a hybrid role (three days in the office/two days remote). Interactive Brokers Group has been consistently at the forefront of trading innovation, starting with the invention of the first floor-based handheld computer in 1983. We pride ourselves on being primarily a technology company and challenging the status quo. We push...

  • Compliance Testing Officer

    4 weeks ago

    Greenwich, Connecticut, United States Interactive Brokers Full time

    Job DescriptionInteractive Brokers LLC is looking for a motivated and talented Compliance Testing Officer who is knowledgeable of U.S. securities and/or commodities regulations, and has appropriate experience at a broker / dealer, regulatory agency, exchange, accounting firm or law firm. In particular, we are looking for someone with experience in designing,...

  • Senior Data Analyst

    3 weeks ago

    Greenwich, Connecticut, United States Interactive Brokers Full time

    About INTERACTIVE BROKERSThis is a hybrid role (three days in the office/two days remote).Interactive Brokers Group has been consistently at the forefront of trading innovation, starting with the invention of the first floor-based handheld computer in 1983. We pride ourselves on being primarily a technology company and challenging the status quo. We push...

  • Tax Analyst

    3 weeks ago

    Greenwich, Connecticut, United States Interactive Brokers Full time

    About INTERACTIVE BROKERSThis is Hybrid role (3 days in office /2 days remote)Interactive Brokers Group has been consistently at the forefront of trading innovation, starting with the invention of the first floor-based handheld computer in 1983. We pride ourselves on being primarily a technology company and challenging the status quo. We push boundaries to...

  • eDiscovery Project Manager

    3 weeks ago

    Greenwich, Connecticut, United States Interactive Brokers Full time

    About INTERACTIVE BROKERSThis is a hybrid role (three days in the office/two days remote). Interactive Brokers Group has been consistently at the forefront of trading innovation, starting with the invention of the first floor-based handheld computer in 1983. We pride ourselves on being primarily a technology company and challenging the status quo. We push...

  • Financial Control Associate

    3 weeks ago

    Greenwich, Connecticut, United States Interactive Brokers Full time

    About INTERACTIVE BROKERSThis is a hybrid role (three days in the office/two days remote).Interactive Brokers Group has been consistently at the forefront of trading innovation, starting with the invention of the first floor-based handheld computer in 1983. We pride ourselves on being primarily a technology company and challenging the status quo. We push...

  • Tax Director of Information Reporting and Withholding

    4 weeks ago

    Greenwich, Connecticut, United States Interactive Brokers Full time

    About INTERACTIVE BROKERSThis is a hybrid role (3 days in the office/2 days remote).Interactive Brokers Group has been consistently at the forefront of trading innovation, starting with the invention of the first floor-based handheld computer in 1983. We pride ourselves on being primarily a technology company and challenging the status quo. We push...

  • Full-Stack Developer

    4 weeks ago

    Greenwich, Connecticut, United States Interactive Brokers Full time

    About INTERACTIVE BROKERSThis is a hybrid role (three days in the office/two days remote). Interactive Brokers Group has been consistently at the forefront of trading innovation, starting with the invention of the first floor-based handheld computer in 1983. We pride ourselves on being primarily a technology company and challenging the status quo. We push...

  • Technology Compliance

    3 weeks ago

    Greenwich, United States Interactive Brokers Full time

    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...

  • Technology Compliance

    4 weeks ago

    Greenwich, United States Interactive Brokers Full time

    Job DescriptionJob Description 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. ResponsibilitiesThe Senior Compliance Analyst's primary focus will be to:Support compliance coverage of the firm's technology and data...

  • Compliance Associate

    7 days ago

    Greenwich, United States Interactive Brokers Group Inc. Full time

    About INTERACTIVE BROKERS! This is a hybrid role (three days in the office/two days remote). Interactive Brokers Group has been consistently at the forefront of trading innovation, starting with the invention of the first floor-based handheld computer in 1983. We pride ourselves on being primarily a technology company and challenging the status quo. We...

  • Compliance Associate

    4 weeks ago

    Greenwich, United States Interactive Brokers Full time

    Job DescriptionJob DescriptionAbout INTERACTIVE BROKERS!This is a hybrid role (three days in the office/two days remote).Interactive Brokers Group has been consistently at the forefront of trading innovation, starting with the invention of the first floor-based handheld computer in 1983. We pride ourselves on being primarily a technology company and...

  • Technology Compliance

    4 weeks ago

    Greenwich, Connecticut, United States Interactive Brokers Full time

     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...

  • Compliance Associate

    3 weeks ago

    Greenwich, United States RightWorks Staffing Full time

    Compliance Associate Responsibilities Conduct compliance reviews in order to assess and review compliance with legal, regulatory and internal firm policy requirements and work with the business and other stakeholders to design appropriate remedial actions to mitigate identified risks Develop and maintain effective partnership with the Front Line Unit,...

  • Compliance Testing Officer

    7 days ago

    Greenwich, United States Interactive Brokers Group Inc. Full time

    Job Description Interactive Brokers LLC is looking for a motivated and talented Compliance Testing Officer who is knowledgeable of U.S. securities and/or commodities regulations, and has appropriate experience at a broker / dealer, regulatory agency, exchange, accounting firm or law firm. In particular, we are looking for someone with experience in...

  • Compliance Testing Officer

    1 week ago

    Greenwich, United States Interactive Brokers Full time

    Job DescriptionJob DescriptionJob DescriptionInteractive Brokers LLC is looking for a motivated and talented Compliance Testing Officer who is knowledgeable of U.S. securities and/or commodities regulations, and has appropriate experience at a broker / dealer, regulatory agency, exchange, accounting firm or law firm. In particular, we are looking for someone...

  • Compliance Testing Officer

    4 weeks ago

    Greenwich, United States Interactive Brokers Full time

    Job DescriptionJob DescriptionJob DescriptionInteractive Brokers LLC is looking for a motivated and talented Compliance Testing Officer who is knowledgeable of U.S. securities and/or commodities regulations, and has appropriate experience at a broker / dealer, regulatory agency, exchange, accounting firm or law firm. In particular, we are looking for someone...

  • Compliance Testing Officer

    3 weeks ago

    Greenwich, United States Interactive Brokers Full time

    Job Description Interactive Brokers LLC is looking for a motivated and talented Compliance Testing Officer who is knowledgeable of U.S. securities and/or commodities regulations, and has appropriate experience at a broker / dealer, regulatory agency, exchange, accounting firm or law firm. In particular, we are looking for someone with experience in...

  • Compliance Testing Officer

    3 weeks ago

    Greenwich, United States RightWorks Staffing Full time

    Compliance Testing Officer Our company is searching for a motivated and experienced compliance officer to guarantee that our business processes and transactions follow all relevant legal and internal guidelines. Your duties will include reviewing employee work, developing company policies, and responding to policy violations. The ideal candidate will be...

  • Senior Data Analyst

    4 weeks ago

    Greenwich, United States Interactive Brokers Full time

    Job DescriptionJob DescriptionAbout INTERACTIVE BROKERS!This is a hybrid role (three days in the office/two days remote).Interactive Brokers Group has been consistently at the forefront of trading innovation, starting with the invention of the first floor-based handheld computer in 1983. We pride ourselves on being primarily a technology company and...

  • Compliance Testing Officer

    4 weeks ago

    Greenwich, United States Partnership Employment Full time

    ResponsibilitiesPerforming broker dealer compliance testing reviews aimed at assessing the organization's ability to comply with applicable regulatory requirementsThe testing will focus on key regulatory requirements, controls and processes related to securities, banking products, futures, exchange traded derivatives and swapsExecuting the firm’s annual...

  • Compliance Testing Officer

    2 days ago

    Greenwich, United States Partnership Employment Full time

    ResponsibilitiesPerforming broker dealer compliance testing reviews aimed at assessing the organization's ability to comply with applicable regulatory requirementsThe testing will focus on key regulatory requirements, controls and processes related to securities, banking products, futures, exchange traded derivatives and swapsExecuting the firm’s annual...

  • Compliance Testing Officer

    12 hours ago

    Greenwich, United States Partnership Employment Full time

    ResponsibilitiesPerforming broker dealer compliance testing reviews aimed at assessing the organization's ability to comply with applicable regulatory requirementsThe testing will focus on key regulatory requirements, controls and processes related to securities, banking products, futures, exchange traded derivatives and swapsExecuting the firm’s annual...

  • Compliance Associate – Electronic Trading Compliance

    4 weeks ago

    Greenwich, Connecticut, United States Interactive Brokers Full time

    About INTERACTIVE BROKERS! This is a hybrid role (three days in the office/two days remote).   Interactive Brokers Group has been consistently at the forefront of trading innovation, starting with the invention of the first floor-based handheld computer in 1983. We pride ourselves on being primarily a technology company and challenging the status quo. We...

  • Compliance Testing Officer

    4 weeks ago

    Greenwich, Connecticut, United States Interactive Brokers Full time

    Job Description Interactive Brokers LLC is looking for a motivated and talented Compliance Testing Officer who is knowledgeable of U.S. securities and/or commodities regulations, and has appropriate experience at a broker / dealer, regulatory agency, exchange, accounting firm or law firm. In particular, we are looking for someone with experience in...

  • Senior Data Analyst

    4 weeks ago

    Greenwich, Connecticut, United States Interactive Brokers Full time

    About INTERACTIVE BROKERS! This is a hybrid role (three days in the office/two days remote). Interactive Brokers Group has been consistently at the forefront of trading innovation, starting with the invention of the first floor-based handheld computer in 1983. We pride ourselves on being primarily a technology company and challenging the status quo. We...

  • Senior Data Analyst

    1 week ago

    Greenwich, United States Interactive Brokers Full time

    About INTERACTIVE BROKERS! This is a hybrid role (three days in the office/two days remote). Interactive Brokers Group has been consistently at the forefront of trading innovation, starting with the invention of the first floor-based handheld computer in 1983. We pride ourselves on being primarily a technology company and challenging the status quo. We push...

  • Information Security Engineer

    5 days ago

    Greenwich, United States Phaxis Full time

    The salary is 140k to 175kRequired Experience:8 + years of experience in roles related to information security and technology.Designing robust security architecturesManaging identity and access effectivelyMitigating threats and managing vulnerabilitiesSafeguarding data with effective protection measures, and DLPResponding promptly and efficiently to security...