Full-Time

Technology Compliance – Senior Analyst

Interactive Brokers

Interactive Brokers

1,001-5,000 employees

Global online trading platform for diverse assets

Fintech

Senior

Greenwich, CT, USA

Requirements
  • 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
Responsibilities
  • 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

Interactive Brokers Group, a leader in the financial services industry, has a proven track record of technical innovation, demonstrated by its 45-year history of building advanced trading technology. The company's competitive advantage lies in its ability to provide a single unified platform for global trading in multiple asset classes and currencies, backed by robust market data access 24/6. Its strong corporate culture is centered around creating technology to provide liquidity on better terms, competing on price, speed, size, and diversity of global products, which has led to its recognition as Barron's #1 Best Online Broker for six consecutive years.

Company Stage

IPO

Total Funding

N/A

Headquarters

Greenwich, Connecticut

Founded

1977

Growth & Insights
Headcount

6 month growth

2%

1 year growth

8%

2 year growth

21%

Benefits

Competitive Pay with discretionary bonus packages which include company stock grants

Comprehensive Health Plans that include extensive Vision, Dental and Prescription coverage

Daily Lunch Allowance

401K Retirement Savings Plan (generous company match)

Wellness Incentives

Flexible Spending Accounts

Paid Personal Time and Sick Leave