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Analyst – Communications Compliance

4 months 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 push boundaries to offer our clients the best trading platform with the most sophisticated features at the lowest cost. Software development is the lifeblood of our Firm, and it shows in our stellar brokerage platform. Interactive Brokers is regularly recognized as a leader in the financial services industry.

Interactive Brokers seeks a motivated and talented individual to join its Compliance group. The candidate will report to the Communications Compliance Officer and focus on helping the Firm stay up to date necessary in its communications database.

Responsibilities:

  • Maintain and test the Firm's communications interface and systems, including updates to systems logic and documentation of system configurations.
  • Test systems or processes to automatically add monitored staff to the database and reconcile any identified gaps.
  • Develop metrics and benchmarks to track rule efficiency and usage.
  • Develop and distribute periodic reports to management describing the efficacy of the Firm's communications compliance controls.
  • Help train and onboard communication database reviewers.
  • Act as Compliance liaison between other groups utilizing communication interface.
  • Develop Off-Channel Communication training materials, methods, and processes to evaluate employee concept retention.
  • Conduct due diligence reviews on IBKR influencer program participants.
  • Aid in reviewing marketing materials such as podcasts and video scripts.

Qualifications:

  • 1-3 years experience with a broker-dealer or FCM, an exchange, the SEC, FINRA, CFTC, NFA, or a law firm. FINRA licenses are preferred.
  • Solid academic background and proven interest in financial markets
  • High degree of comfort and fluency with computers and technology and understanding of how technology is applied to business and regulatory problems
  • Experience with data processing (e.g., Microsoft Excel, Access)
  • Outstanding oral and written communication skills
  • Ability to work independently in a small-team environment and multi-task with minimal supervision

To be successful in this position, you will have the following:

  • Self-motivated and able to handle tasks with minimal supervision.
  • Superb analytical and problem-solving skills.
  • Excellent collaboration and communication (Verbal and written) skills
  • Outstanding organizational and time management skills
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, and a 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