Technology Compliance – Senior Analyst

 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 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