Technology Compliance - Senior Analyst

8 Months ago • 5 Years +

Job Summary

Job Description

Interactive Brokers seeks a Senior Compliance Analyst with 5+ years' experience in financial services or a regulated environment to support technology and data compliance. Must-have experience with SEC, FINRA, CFTC, and industry standards like NIST, ISO, COBIT.
Must have:
  • Financial Services
  • SEC, FINRA, CFTC
  • Industry Standards
  • Compliance Solutions
Good to have:
  • Information Systems
  • Software Development
  • UNIX, SQL, Perl
  • Databases
Perks:
  • Competitive Salary
  • Annual Bonus

Job Details

 Job Description 

Interactive Brokers is looking for a motivated, IT audit, risk or compliance professional with experience working in financial services, or similar regulated environment. 

Responsibilities

The Senior Compliance Analyst’s primary focus will be to:

  • Support compliance coverage of the firm’s technology and data enterprise, and coverage for broker-dealer clients
  • Design periodic and adhoc supervisory reports and complete associated reviews
  • Engage with stakeholders across technology and operations teams and support them in an advisory capacity
  • Implement internal control enhancements and appropriately solution potential compliance matters
  • Assist draft business specifications to create and improve surveillance and compliance tools
  • Assist coordinate responses to regulatory inquiries from foreign and US regulators
  • Draft and implement firm policies, controls and written supervisory procedures

Qualifications

  • 5+ years’ experience with a broker-dealer, investment manager or regulator
  • Solid academic background with a Bachelors or Masters in Finance, Computer Science, Data Sciences or Information Systems preferred
  • Working knowledge of SEC, FINRA, CFTC, CME, NFA, US and foreign regulations relevant to the areas of coverage
  • Strong working knowledge of industry standards from NIST, ISO, COBIT, ISACA, EDM, etc
  • High degree of comfort and fluency 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 both independently as well as in a small-team environment, and to multi-task with minimal supervision
  • Knowledge of information systems, software development, UNIX, SQL, Perl and databases is a plus

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. 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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About The Company

Interactive Brokers Group, Inc. (NASDAQ: "IBKR") is a direct access electronic broker catering to the needs of professional and frequent traders, institutional investors, financial advisers, and introducing brokers. For over 40 years, Interactive Brokers has been the pioneer of the electronic trading revolution. We rapidly scaled from a small U.S. options market-maker into a sizable global trading firm by leveraging the power of technology and automation. We are committed to delivering value through technological innovation and providing our clients with unprecedented access to global markets at the lowest cost.

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