Interactive Brokers is looking for a motivated and talented compliance analyst who is familiar with U.S. securities and/or commodities regulations and has appropriate experience at a regulatory agency, exchange or law firm. The ideal candidate should have experience in regulatory exam management, compliance testing, and policy management.
The Compliance Analyst – Core Compliance Analyst will be responsible for supporting the Compliance Officer – Core Compliance in all aspects of their role, including:
- Developing and managing the firm’s compliance testing program, including testing procedures, methodologies, risk assessments and frequency schedules to comply with relevant legal and regulatory requirements and industry best practices
- Coordinating the execution of testing reviews with stakeholders across various departments and ensuring reviews are conducted in accordance with listed standards
- Reporting compliance testing findings to management
- Tracking compliance testing findings from discovery to remediation
- Assisting in the oversight of the firm’s policies and procedures
- Coordinating with various departments to ensure that policies and procedures are reviewed and updated as needed, as well as in accordance with stated frequency requirements
- Partnering with compliance programming staff and/or technology vendors to implement policy and procedure technology enhancements
- Coordinating smaller regulatory exams independently and supporting manager with coordination of larger cycle regulatory exams.
- 2+ years’ experience with the SEC, FINRA, CFTC, NFA, an exchange, law firm with a focus of security or commodity regulations, , another broker-dealer or FCM
- High degree of comfort and fluency with computers and technology, and 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 multi-task with minimal supervision
- Registrations (i.e., SIE, Series 7, 24 and/or Series 3 registration) or member in good standing of the bar of any U.S. state or the District of Columbia preferred
- Experience with Atlassian Confluence/JIRA preferred.
Company Benefits & Perks
- Competitive salary, annual performance-based bonus and stock grant
- Retirement plan 401(k) with competitive company match
- Excellent health and welfare benefits including medical, dental, and vision benefits
- Wellness screenings and assessments, health coaches and counseling services through Employee Assistance Program (EAP)
- Paid time off and a generous parental leave policy
- Daily company paid lunch 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 sit/stand desks and multi-monitor setups
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