Senior Compliance Analyst
5 days ago
Interactive Brokers is seeking a highly motivated and experienced professional to join our team as a Senior Compliance Analyst. This role will be responsible for ensuring the firm's technology and data enterprise is in compliance with regulatory requirements.
Key Responsibilities- Compliance Coverage: Support the firm's compliance coverage of technology and data enterprise, and broker-dealer clients.
- Reporting and Reviews: Design and complete periodic and ad-hoc supervisory reports, and associated reviews.
- Stakeholder Engagement: Engage with stakeholders across technology and operations teams, and provide advisory support.
- Internal Control Enhancements: Implement internal control enhancements, and address potential compliance matters.
- Surveillance and Compliance Tools: Assist in drafting business specifications to create and improve surveillance and compliance tools.
- Regulatory Inquiries: Coordinate responses to regulatory inquiries from foreign and US regulators.
- Firm Policies and Procedures: Draft and implement firm policies, controls, and written supervisory procedures.
- Experience: 5+ years' experience with a broker-dealer, investment manager, or regulator.
- Education: Solid academic background with a Bachelor's or Master's in Finance, Computer Science, Data Sciences, or Information Systems preferred.
- Regulatory Knowledge: Working knowledge of SEC, FINRA, CFTC, CME, NFA, US, and foreign regulations relevant to the areas of coverage.
- Industry Standards: Strong working knowledge of industry standards from NIST, ISO, COBIT, ISACA, EDM, etc.
- Technical Skills: High degree of comfort and fluency with computers and technology, and an understanding of how technology is applied to business and regulatory problems.
- Compliance Solutions: Ability to develop compliance solutions that satisfy relevant regulations while executing sound business judgment.
- Teamwork and Adaptability: Ability to work both independently and in a small-team environment, and to multi-task with minimal supervision.
- Additional Skills: Knowledge of information systems, software development, UNIX, SQL, Perl, and databases is a plus.
- Competitive Compensation: Competitive salary, annual performance-based bonus, and stock grant.
- Retirement Plan: Retirement plan 401(k) with a competitive company match.
- Health and Wellness Benefits: Excellent health and wellness benefits, including medical, dental, and vision benefits. Company-paid medical healthcare premium.
- Wellness Programs: Wellness screenings and assessments, health coaches, and counseling services through an Employee Assistance Program (EAP).
- Time Off and Parental Leave: Paid time off and a generous parental leave policy.
- Perks and Amenities: Daily company lunch allowance provided, and a fully stocked kitchen with healthy options for breakfast and snack.
- Corporate Events: Corporate events, including team outings, dinners, volunteer activities, and company sports teams.
- Education Reimbursement: Education reimbursement and learning opportunities.
- Modern Offices: Modern offices with multi-monitor setups.
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.
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. We are committed to simplifying and enhancing financial opportunities using state-of-the-art technology.
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