Compliance Analyst - CAT Transaction System

Interactive Brokers Group•Greenwich, CT

51d•Hybrid

About The Position

Interactive Brokers is seeking an experienced Data Analyst with a background in data analysis, ideally within the commodities or securities industry. This role focuses on compliance supervision related to reporting to various non-financial systems. Prior experience with order audit trail reporting systems, order handling or trading systems, or client data is highly desirable but not mandatory. The position is hybrid, requiring 4 days in the office and 1 day remote.

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.
Self-sufficiency in performing data analysis using common programming languages (e.g., Python, Perl) and database queries (e.g., SQL) is ideal.
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.
Similar compliance experience in another industry.
FINRA Consolidated Audit Trail (“CAT”) / Order Audit Trail (“OATS”) systems.
FIX protocol.
Prior UNIX knowledge is preferred, though it must be learned on the job.
Programming skills in Python, Perl, or Go are highly desirable.
Experience using Atlassian systems (e.g., Confluence and JIRA) is a plus.

Responsibilities

Focus on Consolidated Audit Trail (“CAT”) reporting systems and compliance supervision to ensure the firm adheres to rules.
Perform operational and oversight functions requiring the ability to interpret regulations, research and analyze data, understand technical system implementations, and develop control procedures to test compliance.
Research transactional reporting issues to form evidence-based conclusions.
Conduct data analysis and/or system development or improvement.
Review regulatory data to identify root causes and necessary remediation for errors.
Utilize 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.