Compliance Analyst - CAT Transaction System
About The Position
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. This position is focused on the Consolidated Audit Trail (“CAT”) reporting systems and compliance supervision to ensure that the firm has complied with the rules. This is an operational and oversight function that requires the ability to read regulations, research and analyze data, understand technical implementations of systems, and devise control procedures to test compliance. Experience in researching transactional reporting issues to form evidence-based conclusions is a necessary skill. Experience in data analysis and/or system development or improvement is strongly preferred. While preference will be given to individuals with financial services industry experience, similar compliance experience in another industry will also be considered.
Requirements
- 1-2 years of experience as a Data Analyst/Data Scientist
- 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
- 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)
- Technological orientation is required
- 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
Nice To Haves
- Prior experience working with order audit trail reporting systems, order handling or trading systems, or client data
- Experience in data analysis and/or system development or improvement
- Similar compliance experience in another industry
- Some degree of self-sufficiency in performing data analysis using common programming languages (e.g., Python, Perl) and database queries (e.g., SQL)
- FINRA Consolidated Audit Trail (“CAT”) / Order Audit Trail (“OATS”) systems
- FIX protocol
- UNIX knowledge
- Programming skills in Python, Perl, or Go are highly desirable
- Experience using Atlassian systems (e.g., Confluence and JIRA) is a plus
Responsibilities
- Reviewing regulatory data to identify root causes and necessary remediation for errors
- Using UNIX command tools to make corrections to records as needed
- Developing surveillance for regulatory reporting and operational data
- Automating the CAT Feedback system
- Following up with software developers and/or management on any errors or 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
Benefits
- Competitive salary, annual performance-based bonus, and stock grant awards
- 401(k) retirement plan with competitive company match
- Excellent health and wellness benefits, including medical, dental, and vision benefits. 100% employer-paid medical premiums, with generous employer contributions to dental & vision plans as well.
- Wellness screening and assessments, health coaches, and counseling services through an Employee Assistance Program (EAP)
- Generous paid parental leave (up to 16 weeks paid parental leave for eligible employees)
- Company-paid basic life insurance, accidental death & dismemberment (AD&D), and short- and long-term disability coverage
- Flexible Spending Accounts (Healthcare, Dependent Care, and Commuter FSAs)
- Quarterly fitness stipend to offset costs associated with traditional gym and fitness memberships or fees
- Education reimbursement and professional development opportunities
- Legal services, telehealth access, and voluntary insurance options
- Backup child and adult care support through Care.com
- Daily lunch allowance and fully stocked kitchen with healthy breakfast and snack options
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
