Technology Compliance - Senior Analyst

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 a competitive company match

• Excellent 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 policy

• Daily company lunch allowance provided, 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