Compliance Associate - CAT CAIS System
Company: Interactive Brokers LLC
Location: Greenwich
Posted on: May 12, 2022
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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.
Responsibilities:
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
Qualifications:
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.
(If the hyperlink is not active, copy and paste the following URL
in your browser:
https://www.interactivebrokers.com/en/index.php?f=31899) For more
information, please visit www.ibkr.com/info
Keywords: Interactive Brokers LLC, Greenwich , Compliance Associate - CAT CAIS System, Other , Greenwich, Connecticut
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