Senior Data Analyst - Compliance

Interactive Brokers Group-posted 2 months ago

Full-time • Mid Level

Hybrid • Greenwich, CT

Securities, Commodity Contracts, and Other Financial Investments and Related Activities

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Interactive Brokers seeks a motivated data professional to support its Data Governance program. The Senior Data Analyst - Compliance will be responsible for researching and documenting data lineage from a regulatory compliance perspective to support global broker-dealer reporting requirements. This is a compliance role that will work closely with the data governance team and other functions as required.

Identify key data elements and create and maintain data lineage maps by collaborating with technical and business stakeholders
Create and maintain data policies and procedures, and develop compliance solutions that satisfy relevant broker-dealer regulations
Create source-to-destination data maps for AML reports and systems
Support the buildout and management of the data catalog, business glossaries, and associated metadata that serve as the enterprise repository for understanding and governing information across the organization
Design periodic and ad hoc supervisory reports and complete associated reviews
Implement internal control enhancements and appropriately triage potential compliance matters
Assist and coordinate responses to regulatory inquiries from U.S. and global regulators
Draft and implement controls and perform control testing
Research and write policies and procedures

5+ years of experience at a financial services company, auditor, or regulator
3+ years of experience performing or auditing middle- and back-office functions at a broker-dealer, investment manager, hedge fund, or bank
Experience analyzing and documenting data flows and entity relationships (e.g., DFD, ERD)
Solid academic background with a bachelor's or master's degree in Finance, Business, Economics, Computer Science, Data Science, or Information Systems preferred
Knowledge of information systems, software development, NLP, Python, UNIX, SQL, and databases is a plus
Knowledge of data catalog, lineage, and data quality tools
Fluent with MS Office tools, particularly Excel (e.g., Power Query, VBA) and Visio (e.g., UML and BPMN diagrams)
Ability to work independently in a small-team environment and multitask with minimal supervision

Bachelor's or master's degree in Finance, Accounting, Business, Economics, Computer Science, Data Science, or Information Systems
Business analysis and/or project management experience
Understanding of financial compliance data
Exposure to U.S. and foreign regulations relevant to broker-dealers
High comfort and fluency with computers and technology, and understanding of how technology is applied to business and regulatory problems
Experience with Linux and SQL
Experience with data catalog, data lineage, MDM, and/or taxonomy tools
Working knowledge of one or more programming or scripting languages (Python, Java, JavaScript, Perl, etc.)
Working knowledge of XML and/or JSON 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 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 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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