Compliance Analyst - Core Compliance

1 Month ago • 1-3 Years

Job Summary

Job Description

Interactive Brokers seeks a motivated Compliance Analyst familiar with U.S. securities and/or commodities regulations. The role involves developing and managing compliance testing programs, responding to Blue Sheet requests, tracking compliance testing findings, coordinating policy updates, and managing regulatory exams. The analyst will support the Compliance Officer – Core Compliance in various aspects of their role, ensuring adherence to legal and regulatory requirements and industry best practices.
Must have:
  • 1-3 years experience with SEC, FINRA, CFTC, NFA, or similar
  • Comfortable with technology and its application to business problems
  • Strong oral and written communication skills
  • Ability to work independently and in a team
  • Ability to multitask with minimal supervision
  • Self-motivated and problem-solving skills
  • Organizational and time management skills
Good to have:
  • Experience working with programmers
  • Familiarity with scripting or query language
  • SIE, Series 7, 24, or Series 3 registration
  • Membership in good standing of a U.S. state bar
Perks:
  • Competitive salary, annual performance-based bonus, and stock grant
  • 401(k) with company match
  • Excellent health and wellness benefits
  • Employee Assistance Program
  • Paid time off and parental leave
  • Daily lunch allowance and stocked kitchen
  • Corporate events
  • Education reimbursement and learning opportunities
  • Modern offices with multi-monitor setups

Job Details

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

  • Competitive salary, annual performance-based bonus and stock grant
  • Retirement plan 401(k) with competitive company match
  • Excellent health and wellness benefits, including medical, dental, and vision benefits, and a 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 snacks
  • Corporate events, including team outings, dinners, volunteer activities and company sports teams
  • Education reimbursement and learning opportunities
  • Modern offices with multi-monitor setups

 

Similar Jobs

bohemia interactive - Engine Render Programmer Prague/Brno

bohemia interactive

Prague, Prague, Czechia (On-Site)
9 Months ago
Toku - Senior Manager - Finance

Toku

India (Remote)
3 Months ago
Windranger - Finance Manager

Windranger

(Remote)
4 Months ago
BigID - DevOps Engineer

BigID

Tel Aviv-Yafo, Tel Aviv District, Israel (Hybrid)
2 Weeks ago
AECOM - Highway Engineering Technical Lead

AECOM

Mechanicsburg, Pennsylvania, United States (Hybrid)
1 Month ago

Get notifed when new similar jobs are uploaded

Similar Skill Jobs

Alpha Sense - Technical Support Engineer

Alpha Sense

United Kingdom (Remote)
1 Month ago
Critical mass - VP, Client Partner

Critical mass

New York, United States (On-Site)
1 Month ago
d3t - Compliance Analyst

d3t

Daresbury, England, United Kingdom (Hybrid)
4 Months ago
Nice - Specialist Product Owner

Nice

Pune, Maharashtra, India (Hybrid)
1 Month ago
deel. - Sales Development Representative, SMB

deel.

Spain (Remote)
1 Week ago
EMA - Product Manager

EMA

Bengaluru, Karnataka, India (Hybrid)
9 Months ago
Unity - Principal Product Manager

Unity

San Francisco, California, United States (Remote)
1 Month ago
Zelis  - Analyst II, Resolution

Zelis

Hyderabad, Telangana, India (On-Site)
2 Months ago
Lead Venture - AR Manager

Lead Venture

Guadalajara, Jalisco, Mexico (Remote)
1 Week ago
Moloco - Growth Manager

Moloco

New York, United States (On-Site)
2 Months ago

Get notifed when new similar jobs are uploaded

Jobs in Greenwich, Connecticut, United States

Alpha Sense - Product Specialist, Financial Services

Alpha Sense

New York, New York, United States (On-Site)
8 Months ago
Apple - Analog Engineering Program Manager

Apple

Cupertino, California, United States (On-Site)
1 Month ago
legion - Engineering Manager, Software Development

legion

United States (Remote)
3 Weeks ago
Bally's Interactive - Senior Full Stack Developer

Bally's Interactive

Chicago, Illinois, United States (Hybrid)
2 Weeks ago
HCL Tech - Senior Technical Lead - SQL Server

HCL Tech

Texas, United States (On-Site)
2 Months ago
Spellbrush - Game Programmer (Unity)

Spellbrush

San Francisco, California, United States (On-Site)
4 Months ago
fable vison studios - Animation Imagination Podcast Launches by FableVision Summer Interns

fable vison studios

Boston, Massachusetts, United States (On-Site)
4 Years ago
Nintendo - Instructional Designer

Nintendo

Redmond, Washington, United States (On-Site)
3 Months ago
GoMotive - Staff Product Manager, International Markets

GoMotive

United States (Remote)
1 Month ago
Scanline VFX - Research Scientist

Scanline VFX

Los Angeles, California, United States (Hybrid)
8 Months ago

Get notifed when new similar jobs are uploaded

Similar Category Jobs

Looks like we're out of matches

Set up an alert and we'll send you similar jobs the moment they appear!

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.

Dublin, County Dublin, Ireland (On-Site)

Dublin, County Dublin, Ireland (On-Site)

Budapest, Hungary (Hybrid)

Mumbai, Maharashtra, India (Hybrid)

Mumbai, Maharashtra, India (Hybrid)

Chicago, Illinois, United States (Hybrid)

Tokyo, Japan (On-Site)

Fort Lauderdale, Florida, United States (Hybrid)

Greenwich, Connecticut, United States (Hybrid)

View All Jobs

Get notified when new jobs are added by Interactive Brokers

Level Up Your Career in Game Development!

Transform Your Passion into Profession with Our Comprehensive Courses for Aspiring Game Developers.

Job Common Plug