Facebook pixel

Compliance Analyst
CAT Transaction Reporting
Confirmed live in the last 24 hours
Greenwich, CT, USA
Experience Level
Desired Skills
Data Analysis
  • Bachelor's degree required, preferably in a quantitative or analytical field
  • Experience in an analytical role, preferably in the financial industry
  • Strong data analysis, investigatory, and problem-solving skills
  • The ideal candidate would have some degree of self-sufficiency in performing data analysis using common programming languages (e.g., Python, Perl, etc.) and database queries (e.g., SQL)
  • Regulatory research and interpretation skills
  • Strong written and verbal communication skills, including the ability to discuss and write about complex topics in a manner that is both precise and persuasive
  • Familiarity with, or the ability to learn advanced Excel skills is required (e.g., pivot tables, macros, etc)
  • FINRA Consolidated Audit Trail (“CAT”) /Order Audit Trail (“OATS”) systems
  • FIX protocol
  • Technological orientation is required with the following specific skills highly valued:
  • UNIX knowledge is part of this job and must be learned on the job, but it is preferable that the candidate has this ability already. Programming skills in Python, PERL, or GO are also highly desirable
  • Reviewing regulatory data to identify root cause and necessary remediation for errors
  • Using UNIX command tools to make corrections to records as needed
  • Develop surveillance for regulatory reporting and operational data
  • Automate CAT Feedback system
  • Following up with software developers and/or with management on any errors/exceptions that arise
  • Gathering facts to assist the firm in responding to examinations and formal inquiries
  • Proposing improvements to, or additional controls over, regulatory reporting
Desired Qualifications
  • Familiarity with the following is a plus:
  • Skills: Experience using Atlassian systems, i.e. Confluence and JIRA is a plus
Interactive Brokers

1,001-5,000 employees

Multinational brokerage firm
Company Overview
IBKR is on a mission to transform how millions of people trade around the globe. The company operates the largest electronic trading platform in the US by number of daily active users.
  • 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