Senior Data Analyst - Compliance

Interactive Brokers • Greenwich, CT

75d

About The Position

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.

Requirements

• 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

Nice To Haves

• 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

Responsibilities

• 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

Benefits

• 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

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Education Level: Bachelor's degree