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 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 multi-monitor setups

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.

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Technology Compliance - Senior Analyst