Technology Compliance – Senior Analyst
Posted on 3/23/2024
Interactive Brokers

1,001-5,000 employees

Global online trading platform for diverse assets
Company Overview
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.
Fintech

Company Stage

N/A

Total Funding

N/A

Founded

1977

Headquarters

Greenwich, Connecticut

Growth & Insights
Headcount

6 month growth

2%

1 year growth

6%

2 year growth

21%
Locations
Greenwich, CT, USA
Experience Level
Entry
Junior
Mid
Senior
Expert
CategoriesNew
Risk & Compliance
Legal & Compliance
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