Regulatory Reporting Analyst

4 days ago

Greenwich, United States Interactive Brokers Full time
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.

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 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.

About Your Team:

The Interactive Brokers Group ("IBG LLC") is looking for a Compliance professional with a background in regulatory reporting, including systems such as FINRA CAT and stock Trade Reporting Facilities, FINRA TRACE bond trade reporting, MSRB RTRS municipal bond reporting, the OCC LOPR system and CFTC and US Commodity exchange large trader/OCR reporting.

This position requires related experience in the financial services industry and a broad understanding of investigative techniques and problem management.

The analyst's focus will primarily be on the ability to identify and research potential regulatory reporting issues related to stock, fixed income, derivative securities and commodity products. This person will perform post-trade processing reconciliations and middle office support services to ensure accurate trade and position reporting.

Although the position is operationally focused, the successful candidate must be able to read and apply industry regulations to various situations, investigate and communicate any issues that arise, suggest solutions to operational and programming staff and track issues until they are resolved. This position requires the individual to have or be willing to learn light programming skills.
Qualifications

Required:
  • Bachelor's degree in (BA/BS).
  • Minimum 2+ years of brokerage experience in the financial services industry, with a specific focus on regulatory reporting compliance issues with any of the following systems:
    • Stock trade reporting facility systems such as NASDAQ TRF (aka ACT)
    • Fixed income systems such as TRACE, RTTM and RTRS
  • Skills: Bloomberg experience and a technological orientation. Excellent quantitative/analytical and problem-solving skills. Interpersonal and project management skills that resolve open issues in a team environment. Strong oral and written communication skills.
Desired experience and skills:
  • Prior middle office reconciliation experience.
  • Prior operations background in clearing and or corporate actions
  • Current Registrations: FINRA Series 7 or 99 (operations professional) or willingness to obtain.
  • Some knowledge of industry reporting rules and regulations, particularly the CFTC, SEC, FINRA and CBOE rulebooks, is preferred.
  • Computer: Advanced Excel skills are required, and UNIX, SQL, and Python knowledge are a plus. Any programming and/or database experience.
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

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