Technology Compliance - Senior Analyst

6 Months ago • 5 Years + • Legal

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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