Technology Compliance - Senior Analyst

Job Description

Interactive Brokers is seeking a Senior Compliance Analyst to support the compliance coverage of the firm's technology and data enterprise, as well as coverage for broker-dealer clients. This role involves designing supervisory reports, engaging with stakeholders, implementing internal control enhancements, and assisting in drafting business specifications for surveillance and compliance tools. The Senior Compliance Analyst will also assist in coordinating responses to regulatory inquiries and drafting firm policies and procedures.Responsibilities include:

• Supporting compliance coverage of the firm’s technology and data enterprise
• Designing periodic and adhoc supervisory reports
• Engaging with stakeholders across technology and operations teams
• Implementing internal control enhancements
• Assisting in drafting business specifications to improve surveillance and compliance tools
• Assisting coordinate responses to regulatory inquiries
• Drafting and implementing firm policies, controls and written supervisory procedures

Qualifications include:

• 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
• Strong working knowledge of industry standards from NIST, ISO, COBIT, ISACA, EDM, etc
• High degree of comfort and fluency with computers and technology
• Ability to develop compliance solutions that satisfy relevant regulations
• Ability to work both independently as well as in a small-team environment
• Knowledge of information systems, software development, UNIX, SQL, Perl and databases is a plus

Interactive Brokers offers:

• Competitive salary, annual performance-based bonus and stock grant
• Retirement plan 401(k) with a competitive company match
• Excellent health and wellness benefits
• Paid time off and a generous parental leave policy
• Daily company lunch allowance provided, and a fully stocked kitchen
• Corporate events, including team outings, dinners, volunteer activities and company sports teams
• Education reimbursement and learning opportunities
• Modern offices with multi-monitor setups