Compliance Analyst - Core Compliance

Interactive Brokers
US - Connecticut - Greenwich
January 12, 2025

Company 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 have been at the forefront of financial innovation for over four decades, known for our cutting-edge technology and client commitment.

IBKR affiliates provide global electronic brokerage services around the clock on stocks, options, futures, currencies, bonds, and funds to clients in over 200 countries and territories. We serve individual investors and institutions, including financial advisors, hedge funds and introducing brokers. Our advanced technology, competitive pricing, and global market help our clients to make the most of their investments.

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.

About INTERACTIVE BROKERS!This is a hybrid role (3 days in the office/2 days remote).

Interactive Brokers Group has been consistently at the forefront of trading innovation, starting with the invention of the first floor-based handheld computer in 1983. We pride ourselves on being primarily a technology company and challenging the status quo. We push boundaries to offer our clients the best trading platform with the most sophisticated features at the lowest cost. Software development is the lifeblood of our firm, and it shows in our stellar brokerage platform. Interactive Brokers is regularly recognized as a leader in the financial services industry.

Interactive Brokers seeks a motivated and talented compliance analyst familiar with U.S. securities and/or commodities regulations and with appropriate experience at a regulatory agency, exchange, or law firm. We seek someone with experience in regulatory exam management, compliance testing, and policy management.

Responsibilities:

The Compliance Analyst - Core Compliance will be responsible for supporting the Compliance Officer - Core Compliance in all aspects of their role, including:

Developing and managing certain compliance testing programs, including testing procedures, methodologies and frequency schedules to comply with relevant legal and regulatory requirements and industry best practices.
Processing and responding to Blue Sheet requests
Tracking compliance testing findings from discovery to remediation.
Coordinating with various departments to ensure policies and procedures are reviewed and updated as needed and per stated frequency requirements.
Coordinating smaller regulatory exams independently and supporting the manager with the coordination of larger cycle regulatory exams.
And other tasks as assigned

Qualifications:

1-3 years of experience with the SEC, FINRA, CFTC, NFA, an exchange, a law firm focusing on security or commodity regulations, or another broker-dealer or FCM.
A high degree of comfort and fluency with computers and technology and an understanding of how technology is applied to business and regulatory problems. Experience working directly with programmers and/or familiarity with scripting or query language is preferred.
Outstanding oral and written communication skills
Ability to work both independently as well as in a small-team environment and to multi-task with minimal supervision
Registrations (i.e., SIE, Series 7, 24 and/or Series 3 registration) or member in good standing of the bar of any U.S. state or the District of Columbia preferred.

To be successful in this position, you will have the following:

Self-motivated and able to handle tasks with minimal supervision.
Superb analytical and problem-solving skills.
Excellent collaboration and communication (Verbal and written) skills.
Outstanding organizational and time management skills.

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, and a 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

Read the full job description and apply online on the recuiter's web-site

Compliance Analyst - Core Compliance

Compliance Analyst - Core Compliance

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