Interactive Brokers
Technology Compliance - Senior Analyst
Interactive Brokers, Greenwich, Connecticut, us, 06831
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 clientsDesign periodic and adhoc supervisory reports and complete associated reviewsEngage with stakeholders across technology and operations teams and support them in an advisory capacityImplement internal control enhancements and appropriately solution potential compliance mattersAssist draft business specifications to create and improve surveillance and compliance toolsAssist coordinate responses to regulatory inquiries from foreign and US regulatorsDraft and implement firm policies, controls and written supervisory proceduresQualifications
5+ years' experience with a broker-dealer, investment manager or regulatorSolid academic background with a Bachelors or Masters in Finance, Computer Science, Data Sciences or Information Systems preferredWorking knowledge of SEC, FINRA, CFTC, CME, NFA, US and foreign regulations relevant to the areas of coverageStrong working knowledge of industry standards from NIST, ISO, COBIT, ISACA, EDM, etcHigh 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 judgmentAbility to work both independently as well as in a small-team environment, and to multi-task with minimal supervisionKnowledge of information systems, software development, UNIX, SQL, Perl and databases is a plusCompany Benefits & Perks
Competitive salary, annual performance-based bonus and stock grantRetirement plan 401(k) with a competitive company matchExcellent health and wellness benefits, including medical, dental, and vision benefits. Company paid medical healthcare premium.Wellness screenings and assessments, health coaches and counseling services through an Employee Assistance Program (EAP)Paid time off and a generous parental leave policyDaily company lunch allowance provided, and a fully stocked kitchen with healthy options for breakfast and snackCorporate events, including team outings, dinners, volunteer activities and company sports teamsEducation reimbursement and learning opportunitiesModern 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.
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 clientsDesign periodic and adhoc supervisory reports and complete associated reviewsEngage with stakeholders across technology and operations teams and support them in an advisory capacityImplement internal control enhancements and appropriately solution potential compliance mattersAssist draft business specifications to create and improve surveillance and compliance toolsAssist coordinate responses to regulatory inquiries from foreign and US regulatorsDraft and implement firm policies, controls and written supervisory proceduresQualifications
5+ years' experience with a broker-dealer, investment manager or regulatorSolid academic background with a Bachelors or Masters in Finance, Computer Science, Data Sciences or Information Systems preferredWorking knowledge of SEC, FINRA, CFTC, CME, NFA, US and foreign regulations relevant to the areas of coverageStrong working knowledge of industry standards from NIST, ISO, COBIT, ISACA, EDM, etcHigh 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 judgmentAbility to work both independently as well as in a small-team environment, and to multi-task with minimal supervisionKnowledge of information systems, software development, UNIX, SQL, Perl and databases is a plusCompany Benefits & Perks
Competitive salary, annual performance-based bonus and stock grantRetirement plan 401(k) with a competitive company matchExcellent health and wellness benefits, including medical, dental, and vision benefits. Company paid medical healthcare premium.Wellness screenings and assessments, health coaches and counseling services through an Employee Assistance Program (EAP)Paid time off and a generous parental leave policyDaily company lunch allowance provided, and a fully stocked kitchen with healthy options for breakfast and snackCorporate events, including team outings, dinners, volunteer activities and company sports teamsEducation reimbursement and learning opportunitiesModern 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.