Job Description and Responsibilities
Interactive Brokers is looking for a motivated compliance analyst to lead the Firm’s compliance efforts for specific programs. Reporting to a Compliance Officer, this role will work independently, and as part of a small to team, to implement internal controls for due diligence and supervision of a specific program area and the associated client base.
The Compliance Analyst will:
- Conduct surveillance and due diligence of third parties and clients associated with certain account types and programs.
- Maintain and implement relevant firm policies, controls and written supervisory procedures designed to ensure there is adequate monitoring and supervision to meet business goals and regulatory requirements.
- Help craft detailed written requirements for program elements and reports to be conveyed to programmers and technology staff.
- Coordinate responses to regulatory inquiries from the US federal, state and foreign regulators.
- 3-5 years’ experience with the SEC, FINRA, CFTC, NFA, an exchange, a broker-dealer and/or an investment adviser preferred.
- Bachelors in Finance, Computer Science, Economics, Business, Data Sciences, or Information Systems, required. Masters preferred.
- Industry risk and compliance certifications/ registrations (Series 7/3) is a plus.
- Knowledge of programming and/or query languages is a plus.
- High degree of comfort and fluency with computers and technology, and understanding of how technology is applied to business and compliance operations.
- Experience with assessing requirements, developing and implementing compliance solutions.
- Ability to work both independently, as well as in a small-team environment, and to multi-task with minimal supervision.
- Outstanding oral and written communication skills.
- Competitive compensation package commensurate with experience (including bonus and stock grant possibilities)
- 401(k) plan, paid vacation, medical and dental insurance plans, flexible spending accounts
Interactive Brokers ("IBKR"), a subsidiary of publicly-traded Interactive Brokers Group, Inc., based in Greenwich, Connecticut (NASDAQ: IBKR) is a low-cost provider of trade execution and clearing services for active traders, institutional investors, financial advisers and introducing brokers. IBKR’s premier technology provides electronic access to stocks, options, futures, forex, bonds, and funds worldwide from a single IBKR Integrated Investment account. IBKR is one of the largest online brokers by trade volume and is consistently ranked at the top of its field.
Our employees are part of a dynamic, multinational, fast-paced, results-oriented team working to provide our customers with state-of-the-art trading technology, superior execution capabilities, worldwide electronic access, and sophisticated risk management tools.
Our headquarters are in Greenwich, CT, USA. IBKR has offices in the United States, Canada, the United Kingdom, Switzerland, Hungary, Estonia, Russia, India, Hong Kong, China, Japan and Australia.
IBKR is a member of NYSE, FINRA, and SIPC. Interactive Brokers Group brokerage affiliates are regulated by securities and commodities agencies around the world.
Click HERE to view a short video with a few words from current Interactive Brokers employees.
For more information, please visit www.ibkr.com/info