Interactive Brokers Group, Inc.
Technology Compliance - Senior Analyst
Interactive Brokers Group, Inc., Greenwich, Connecticut, us, 06831
Overview
Interactive Brokers Group, Inc. (Nasdaq: IBKR) is a global financial services company headquartered in Greenwich, CT, USA, with offices in over 15 countries. We provide global electronic brokerage services around the clock on stocks, options, futures, currencies, bonds, and funds to clients in over 200 countries and territories, serving individual investors and institutions. Barron's has recognized Interactive Brokers as the #1 online broker for six consecutive years. Join our dynamic, multi-national team and be a part of a company that simplifies and enhances financial opportunities using state-of-the-art technology. Interactive Brokers is looking for a motivated IT audit, risk or compliance professional with experience in financial services or a similar regulated environment.
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
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
Apply for this job To apply, please follow the instructions on the Interactive Brokers careers site.
Equal Employment Opportunity Interactive Brokers is committed to protecting the privacy of its users and is an equal opportunity employer. We do not discriminate on the basis of any protected status under applicable law. This includes voluntary self-identification sections for veteran and disability status as part of government reporting requirements. Your participation in any voluntary self-identification is confidential and will not affect your hiring process.
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Interactive Brokers Group, Inc. (Nasdaq: IBKR) is a global financial services company headquartered in Greenwich, CT, USA, with offices in over 15 countries. We provide global electronic brokerage services around the clock on stocks, options, futures, currencies, bonds, and funds to clients in over 200 countries and territories, serving individual investors and institutions. Barron's has recognized Interactive Brokers as the #1 online broker for six consecutive years. Join our dynamic, multi-national team and be a part of a company that simplifies and enhances financial opportunities using state-of-the-art technology. Interactive Brokers is looking for a motivated IT audit, risk or compliance professional with experience in financial services or a similar regulated environment.
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
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
Apply for this job To apply, please follow the instructions on the Interactive Brokers careers site.
Equal Employment Opportunity Interactive Brokers is committed to protecting the privacy of its users and is an equal opportunity employer. We do not discriminate on the basis of any protected status under applicable law. This includes voluntary self-identification sections for veteran and disability status as part of government reporting requirements. Your participation in any voluntary self-identification is confidential and will not affect your hiring process.
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