Senior Compliance Analyst
4 weeks ago
Interactive Brokers is seeking a seasoned professional to lead our technology compliance efforts. As a key member of our team, you will be responsible for ensuring our technology and data enterprise meets regulatory requirements.
Key Responsibilities- Design and implement supervisory reports and reviews to ensure compliance with regulatory requirements
- Collaborate with stakeholders across technology and operations teams to provide advisory support
- Develop and implement internal control enhancements to mitigate compliance risks
- Assist in the creation and improvement of surveillance and compliance tools
- Coordinate responses to regulatory inquiries from foreign and US regulators
- Draft and implement firm policies, controls, and written supervisory procedures
- 5+ years' experience in a regulated environment, preferably in a broker-dealer or investment manager
- Solid academic background in a relevant field, such as finance, computer science, or data sciences
- Working knowledge of SEC, FINRA, CFTC, CME, NFA, and US and foreign regulations
- Strong understanding of industry standards, including NIST, ISO, COBIT, ISACA, and EDM
- High degree of comfort 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 independently and in a small-team environment, with minimal supervision
- 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
- 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 and a fully stocked kitchen with healthy options
- Corporate events, including team outings, dinners, volunteer activities, and company sports teams
- Education reimbursement and learning opportunities
- 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.
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. We are committed to simplifying and enhancing financial opportunities using state-of-the-art technology.
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