Technology Compliance - Senior AnalystInteractive Brokers • Greenwich, CT
Technology Compliance - Senior Analyst
Interactive Brokers • Greenwich, CT
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job_description.job_card.job_description5+ 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 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
Responsibilities
The Senior Compliance Analyst’s primary focus will be to :
- 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
Qualifications
Company Benefits & Perks
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Senior Compliance Analyst • Greenwich, CT
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