Compliance Analyst - Core Compliance

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.

This is a hybrid role (3 days in the office/2 days remote).

Interactive Brokers seeks a motivated and talented compliance analyst familiar with U.S. securities and/or commodities regulations and with appropriate experience at a regulatory agency, exchange, or law firm. We seek someone with experience in regulatory exam management, compliance testing, and policy management.

Responsibilities:

The Compliance Analyst – Core Compliance will be responsible for supporting the Compliance Officer – Core Compliance in all aspects of their role, including:

• Developing and managing certain compliance testing programs, including testing procedures, methodologies and frequency schedules to comply with relevant legal and regulatory requirements and industry best practices.
• 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 and per stated frequency requirements.
• Coordinating smaller regulatory exams independently and supporting the manager with coordinating larger cycle regulatory exams.
• And other tasks as assigned

Qualifications: 

• 1-3 years of experience with the SEC, FINRA, CFTC, NFA, an exchange, a law firm focusing on security or commodity regulations, or another broker-dealer or FCM.
• A high degree of comfort and fluency with computers and technology, and an understanding of how technology is applied to business and regulatory problems. Experience working directly with programmers and/or familiarity with scripting or query language is preferred.
• Outstanding oral and written communication skills
• Ability to work both independently as well as in a small team environment, and to multitask with minimal supervision
• Registrations (i.e., SIE, Series 7, 24 and/or Series 3 registration) or membership in good standing of the bar of any U.S. state or the District of Columbia preferred.

 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