Compliance Analyst

Interactive Brokers Ireland Limited (“IBIE”) is looking for a Compliance Analyst to help fulfill IBIE’s Compliance responsibilities concerning market conduct, consumer protection and the execution of the Compliance Testing and Monitoring Programme. The Compliance Analyst will be an integral member of the Compliance Team, reporting directly to the Deputy Chief Compliance Officer.

The position offers 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. It provides an excellent opportunity to learn the regulatory expectations of an investment firm with a large retail client base. It will also require collaboration with other compliance teams across Europe.

 

Responsibilities

  • Assist with the planning and execution of the firm’s Compliance risk assessment and monitoring and testing program in accordance with industry standards and expectations of management, auditors, and the Central Bank of Ireland;
  • Compile Management Information from the output 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 their impacts on the firm;
  • Assist with the maintenance of the Compliance Policy and Procedures framework, ensuring all artefacts are updated regularly; and
  • Assist with thematic reviews of IBIE’s different business areas and regulatory risks.

 

Qualifications

  • One to two years of relevant Compliance experience, preferably at a large broker, proprietary trading firm or other MiFID firm, gained in a Compliance, Risk or Audit function;
  • Knowledge of the regulatory framework of the applicable regulation, including MiFID/R, Fitness and Probity and other relevant Central Bank of Ireland codes/guidance. Knowledge of EMIR, PRIIPS and SFTR is a plus;
  • Strong knowledge of financial instruments and financial markets;
  • Experience assessing risks and evaluating systems and controls;
  • A 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;
  • Strong 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

 

Company Overview

Interactive Brokers LLC, a subsidiary of Interactive Brokers Group, Inc. (Ticker: IBKR) is a direct access electronic broker serving professionals, frequent traders, institutional investors, financial advisors and introducing brokers. Our clients have access to more than 150 market centers around the world from a single integrated account. Our employees are part of a dynamic, multi-national, fast-paced, results-oriented team that has spent four decades focused on advanced technology and automation that equips our clients with a uniquely sophisticated platform to manage their investment portfolios. We provide our clients with advantageous execution prices, risk and portfolio management tools, research facilities and investment products, at low or no cost, positioning them to achieve superior returns.

Headquartered in Greenwich, CT, USA. IBKR has offices in more than 15 countries across the world.

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 the link to view a short video with a few words from current Interactive Brokers employees: https://www.interactivebrokers.com/en/index.php?f=31899

 

 

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