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Technology Compliance
3 weeks ago
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 Company Overview 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.
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Technology Compliance
1 week ago
Greenwich, Connecticut, United States Interactive Brokers Full timeJob Description Job 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...
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Technology Compliance
2 months ago
Greenwich, Connecticut, United States Interactive Brokers Full timeJob 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 enterprise, and coverage for...
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Technology Compliance
3 weeks ago
Greenwich, Connecticut, United States Interactive Brokers Full timeJob 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 enterprise, and coverage for...
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Technology Compliance
2 months ago
Greenwich, United States Interactive Brokers Full timeJob 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...
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Technology Compliance
3 weeks ago
Greenwich, United States Interactive Brokers Full timeJob 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...
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Technology Compliance
2 months ago
Greenwich, Connecticut, United States Interactive Brokers Full timeJob 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 Analystâs primary focus will be to: Support compliance coverage of the firmâs technology and data enterprise, and...
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Technology Compliance
3 weeks ago
Greenwich, Connecticut, United States Interactive Brokers Full timeJob 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 Analystâs primary focus will be to: Support compliance coverage of the firmâs technology and data enterprise, and...
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Compliance Associate
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Greenwich, United States RightWorks Staffing Full timeCompliance 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,...
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Compliance Testing Officer
2 months ago
Greenwich, United States Interactive Brokers Group Inc. Full timeJob 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...
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Compliance Testing Officer
3 weeks ago
Greenwich, United States Interactive Brokers Group Inc. Full timeJob 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...
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Compliance Testing Officer
3 weeks ago
Greenwich, United States Interactive Brokers Full timeJob 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...
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Compliance Testing Officer
2 months ago
Greenwich, United States Interactive Brokers Full timeJob 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...
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Compliance Testing Officer
2 months ago
Greenwich, United States Interactive Brokers Full timeJob 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...
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Compliance Testing Officer
2 months ago
Greenwich, United States Interactive Brokers Full timeJob 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...
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Compliance Testing Officer
2 weeks ago
Greenwich, United States Interactive Brokers Full timeJob 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...
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Compliance Testing Officer
1 week ago
Greenwich, Connecticut, United States Interactive Brokers Full timeJob 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...
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Compliance Testing Officer
3 weeks ago
Greenwich, United States Interactive Brokers Full timeJob 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...
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Analyst - Communications Compliance
4 weeks ago
Greenwich, United States Interactive Brokers Full timeAbout 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...
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Analyst - Communications Compliance
4 weeks ago
Greenwich, United States Interactive Brokers Full timeJob 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...