Interactive Brokers
Compliance Analyst – CAT Transaction System
Greenwich, CT · Junior
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About the role
- We have been at the forefront of financial innovation for over four decades, known for our cutting-edge technology and client commitment.
- IBKR affiliates provide global electronic brokerage services around the clock on stocks, options, futures, currencies, bonds, and funds to clients in over 200 countries and territories.
- We serve individual investors and institutions, including financial advisors, hedge funds and introducing brokers.
Responsibilities
- Developing surveillance for regulatory reporting and operational data
Requirements
- Bachelor's degree required, preferably in a quantitative or analytical field
- Experience in an analytical role, preferably in the financial industry
- The ideal candidate would have some degree of self-sufficiency in performing data analysis using common programming languages (e.g., Python, Perl) and database queries (e.g., SQL)
- 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, with the following specific skills highly valued:
- Strong data analysis, investigatory, and problem-solving skills
- Regulatory research and interpretation skills
- FINRA Consolidated Audit Trail ("CAT") / Order Audit Trail ("OATS") systems
- FIX protocol
- UNIX knowledge is part of this job and must be learned on the job, but prior experience is preferred
- Programming skills in Python, Perl, or Go are highly desirable
- Self-motivated and able to handle tasks with minimal supervision
- Superb analytical and problem-solving skills
Nice to have
- Experience in researching transactional reporting issues to form evidence-based conclusions is a necessary skill.
- Experience in data analysis and/or system development or improvement is strongly preferred.
- While preference will be given to individuals with financial services industry experience, similar compliance experience in another industry will also be considered.
- Familiarity with the following is a plus:
- Experience using Atlassian systems (e.g., Confluence and JIRA) is a plus
Compensation
- Competitive salary, annual performance-based bonus, and stock grant
Company info
- Join our dynamic, multi-national team and be a part of a company that simplifies and enhances financial opportunities using state-of-the-art technology.
This listing is sourced directly from Interactive Brokers's careers page and normalized into a canonical job model.