Technology Compliance - Senior Analyst

Interactive Brokers Group • Greenwich, CT

96d

About The Position

Interactive Brokers is looking for a motivated, IT audit, risk or compliance professional with experience working in financial services, or similar regulated environment.

Requirements

• 5+ years' experience with a broker-dealer, investment manager or regulator
• Solid academic background with a Bachelors or Masters in Finance, Computer Science, Data Sciences or Information Systems preferred
• Working knowledge of SEC, FINRA, CFTC, CME, NFA, US and foreign regulations relevant to the areas of coverage
• Strong working knowledge of industry standards from NIST, ISO, COBIT, ISACA, EDM, etc
• High degree of comfort and fluency with computers and technology, and an understanding of how technology is applied to business and regulatory problems.
• Ability to develop compliance solutions that satisfy relevant regulations while executing sound business judgment
• Ability to work both independently as well as in a small-team environment, and to multi-task with minimal supervision
• Knowledge of information systems, software development, UNIX, SQL, Perl and databases is a plus

Responsibilities

• Support compliance coverage of the firm's technology and data enterprise, and coverage for broker-dealer clients
• Design periodic and adhoc supervisory reports and complete associated reviews
• Engage with stakeholders across technology and operations teams and support them in an advisory capacity
• Implement internal control enhancements and appropriately solution potential compliance matters
• Assist draft business specifications to create and improve surveillance and compliance tools
• Assist coordinate responses to regulatory inquiries from foreign and US regulators
• Draft and implement firm policies, controls and written supervisory procedures

Benefits

• Competitive salary, annual performance-based bonus and stock grant
• Retirement plan 401(k) with a competitive company match
• Excellent health and wellness benefits, including medical, dental, and vision benefits. 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 provided, and a fully stocked kitchen with healthy options for breakfast and snack
• 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
• Industry: Securities, Commodity Contracts, and Other Financial Investments and Related Activities
• Education Level: Bachelor's degree