Compliance Analyst - CAT Transaction System

Interactive Brokers Group-posted 2 months ago
Full-time • Entry Level
Hybrid • Greenwich, CT
Securities, Commodity Contracts, and Other Financial Investments and Related Activities
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Interactive Brokers is looking for an experienced Data Analyst with data analysis experience, preferably in the commodities or securities industry. This position is responsible for handling compliance supervision over reporting to various non-financial systems. Prior experience working with order audit trail reporting systems, order handling or trading systems, or client data is highly desired but not required.

  • Focus on the Consolidated Audit Trail ('CAT') reporting systems and compliance supervision to ensure that the firm has complied with the rules.
  • Read regulations, research and analyze data, understand technical implementations of systems, and devise control procedures to test compliance.
  • Research transactional reporting issues to form evidence-based conclusions.
  • Review regulatory data to identify root causes and necessary remediation for errors.
  • Use UNIX command tools to make corrections to records as needed.
  • Develop surveillance for regulatory reporting and operational data.
  • Automate the CAT Feedback system.
  • Follow up with software developers and/or management on any errors or exceptions that arise.
  • Gather facts to assist the firm in responding to examinations and formal inquiries.
  • Propose improvements to, or additional controls over, regulatory reporting.
  • Bachelor's degree required, preferably in a quantitative or analytical field.
  • 1-2 years of experience as a Data Analyst/Data Scientist.
  • Experience in an analytical role, preferably in the financial industry.
  • Strong data analysis, investigatory, and problem-solving skills.
  • Self-sufficiency in performing data analysis using common programming languages (e.g., Python, Perl) and database queries (e.g., SQL).
  • Regulatory research and interpretation skills.
  • Strong written and verbal communication skills.
  • Familiarity with FINRA Consolidated Audit Trail ('CAT') / Order Audit Trail ('OATS') systems.
  • Familiarity with FIX protocol.
  • UNIX knowledge is part of this job and must be learned on the job, but prior experience is preferred.
  • Programming skills in Python, Perl, or Go are highly desirable.
  • Experience using Atlassian systems (e.g., Confluence and JIRA) is a plus.
  • Competitive salary, annual performance-based bonus, and stock grant.
  • Retirement plan 401(k) with competitive company match.
  • Excellent health and wellness benefits, including medical, dental, and vision coverage; company-paid 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 and a fully stocked kitchen with healthy options for breakfast and snacks.
  • Corporate events, including team outings, dinners, volunteer activities, and company sports teams.
  • Education reimbursement and learning opportunities.
  • Modern offices with multi-monitor setups.
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