Compliance Risk Analyst
4 days ago
Interactive Brokers Group, Inc. (Nasdaq: IBKR) is a global financial services company with headquarters in Greenwich, CT, USA. We have been at the forefront of innovation for over four decades, renowned for our cutting-edge technology and client-centric approach. Our affiliates provide global electronic brokerage services around the clock, serving individual investors and institutions worldwide.
About Interactive Brokers
This hybrid role (3 days in the office/2 days remote) offers a unique opportunity to join a dynamic, multi-national team that simplifies and enhances financial opportunities using state-of-the-art technology. With a focus on regulatory compliance, we seek a motivated and talented professional with expertise in U.S. securities and/or commodities regulations.
Responsibilities:
- Developing and managing compliance testing programs, including testing procedures, methodologies, and frequency schedules to comply with relevant legal and regulatory requirements.
- Processing and responding to Blue Sheet requests.
- Tracking compliance testing findings from discovery to remediation.
- Coordinating with various departments to ensure policies and procedures are reviewed and updated as needed.
- Coordinating smaller regulatory exams independently and supporting larger cycle regulatory exams.
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