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Compliance Associate - CAT CAIS System

Company: Interactive Brokers LLC
Location: Greenwich
Posted on: May 12, 2022

Job Description:

Job Description

Interactive Brokers is looking for an experienced Compliance Analyst with 5+ years of experience in a compliance role, preferably in the commodities or securities industry. This position is responsible for handling compliance supervision over reporting to various large position regulatory reporting systems such as the CFTC, US commodity exchanges and the OCC. Prior experience in working with the OCC LOPR system or the CFTC or US Commodity exchange Large Trader/OCR reporting systems is highly desired but is not required.


This position is focused on the Consolidated Audit Trail reporting systems and compliance supervision to ensure that that the firm has complied with the rules and reporting deadlines. This is an operational and oversight function that requires the ability to read regulations, understand technical implementations of systems and to devise control procedures to test compliance.

Experience in researching transactional reporting issues to form evidenced- based conclusions is a necessary skill. While preference will be given to individuals that have financial services industry experience, other similar compliance type of experience in another industry will be considered.

Reviewing regulatory feedback errors to identify root cause and necessary remediation
Using UNIX command tools to make corrections to records as needed
Following up with software developers and/or with management on any errors/exceptions that arise
Gathering facts to assist the firm in responding to examinations and formal inquiries
Proposing improvements to, or additional controls over, regulatory reporting
Following and documenting the firm's operational procedures


Bachelor's degree required, preferably in a quantitative or analytical field
5+ years of experience in an analytical role, preferably in the financial industry
Strong data analysis, investigatory, and problem-solving skills
Regulatory research and interpretation skills
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
The ideal candidate would have some degree of self-sufficiency in performing data analysis using common programming languages (e.g., Python) and database queries (e.g., SQL)

Preferred qualifications:

FINRA Consolidated Audit Trail ("CAT") or Order Audit Trail ("OATS") systems
Types of Brokerage business account structures
Technological orientation is required with the following specific skills highly valued: UNIX knowledge is part of this job and must be learned on the job, but it is preferable that the candidate has this ability already.
Skills: Experience using Atlassian systems, i.e. Confluence and JIRA is a plus

Current Registrations: FINRA Series 7 or 99 (operations professional) is preferred, but not required

Company Benefits & Perks

Competitive salary, annual performance-based bonus and stock grant
Retirement plan 401(k) with competitive company match
Excellent health and welfare benefits including medical, dental, and vision benefits
Wellness screenings and assessments, health coaches and counseling services through Employee Assistance Program (EAP)
Paid time off and a generous parental leave policy
Daily company paid lunch 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 sit/stand desks and multi-monitor setups

Company Overview

Interactive Brokers ("IBKR"), a subsidiary of publicly-traded Interactive Brokers Group, Inc., based in Greenwich, Connecticut (NASDAQ: IBKR) is a low-cost provider of trade execution and clearing services for active traders, institutional investors, financial advisors and introducing brokers. IBKR's premier technology provides electronic access to stocks, options, futures, forex, bonds, and funds worldwide from a single IBKR Integrated Investment account. IBKR is one of the largest online brokers by trade volume and is consistently ranked at the top of its field.

Our employees are part of a dynamic, multinational, fast-paced, results-oriented team working to provide our customers with state-of-the-art trading technology, superior execution capabilities, worldwide electronic access, and sophisticated risk management tools.

Our headquarters are in Greenwich, CT, USA. IBKR has offices in the United States, Australia, Canada, China, Estonia, Hong Kong, Hungary, India, Ireland, Japan, Russia, Singapore, Switzerland and United Kingdom.

IBKR is a member of NYSE, FINRA, and SIPC. Interactive Brokers Group brokerage affiliates are regulated by securities and commodities agencies around the world.

Click HERE to view a short video with a few words from current Interactive Brokers employees.

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Keywords: Interactive Brokers LLC, Greenwich , Compliance Associate - CAT CAIS System, Other , Greenwich, Connecticut

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