Interactive Brokers Ireland Limited (“IBIE”) is looking for a Compliance Analyst to assist the Head of Conduct and Governance with the fulfillment of Compliance responsibilities concerning market conduct, consumer protection and the Compliance Testing and Monitoring Programme. The Compliance Analyst will be an integral member of the Compliance Team, reporting directly to the Head of Conduct and Governance.
This is a unique opportunity for a junior Compliance professional to gain exposure to a wide range of governance and regulatory risk management requirements in a fast paced and complex operating environment.
- Assist with the planning and execution of the firm’s periodic Compliance risk assessment and the firm’s monitoring and testing program, in accordance with industry standards and expectations of management, auditors, and the Central Bank of Ireland;
- Compile Management Information arising from the execution of the monitoring and testing programme and identify changes and enhancements to the programme;
- Identify and monitor new and emerging regulatory and conduct risks and impacts on the firm;
- Assist with the maintenance the Compliance Policy and Procedures framework, ensuring all artefacts are updated on a regular basis;
- Assist with themed reviews of IBIE’s different business areas and regulatory risks;
- Design queries and conduct analysis of large data sets to measure risk factors and controls.
- 2+ years of relevant Compliance experience, preferably at a large broker or other MiFID firm, gained in a Compliance, Risk or Audit function
- Knowledge of the applicable regulatory framework, including MiFID/R, Market Abuse, Fitness and Probity, Market Conduct Risk and other relevant Central Bank of Ireland codes / guidance. Knowledge of EMIR, PRIIPS and SFTR is a plus
- Interest in financial instruments and financial markets
- Broad experience of assessing risks and implementing systems and controls
- High degree of comfort with technology and a functional understanding of how technology can be applied to business and regulatory solutions
- Willing to take on additional responsibility, potentially including expansion of the role to cover other Compliance areas
- Outstanding communication, problem solving and analytical skills
- Ability to work under pressure, formulate and articulate solutions and defend assumptions
- Excellent attention to detail
- University degree or higher qualification
- Professional Certificate or Professional Diploma in Compliance or currently working towards these qualifications
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 advisors 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, Australia, Canada, China, Estonia, Hong Kong, Hungary, India, Ireland, Japan, Luxembourg, Russia, Singapore, Switzerland and United Kingdom.
IBKR is a member of NYSE, FINRA, and SIPC. Interactive Brokers Group brokerage affiliates are regulated by securities and commodities agencies around the world.
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For more information, please visit www.ibkr.com/info