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Compliance Analyst

Company: Interactive Brokers Group, Inc.
Location: Greenwich
Posted on: February 25, 2021

Job Description:

The Interactive Brokers Group ("IBG LLC") is looking for an experienced Compliance person with a background in regulatory reporting including such systems as: FINRA OATS and stock Trade Reporting Facilities, FINRA TRACE bond trade reporting, MSRB RTRS municipal bond reporting, OCC LOPR system and CFTC and US Commodity exchange Large Trader/OCR reporting. This position requires related experience in the financial services industry, and a broad understanding of investigative techniques and problem management.-- The analyst's focus will primarily be on the ability to identify and research potential regulatory reporting issues related to stock, fixed income, derivative securities and commodity products. This person will perform post-trade processing reconciliations and middle office support services to ensure accurate trade and position reporting. Although the position is operationally-focused, the successful candidate must have the ability to read and apply industry regulations to various situations, investigate and communicate any issues that arise, suggest solutions to operational and programming staff and track issues until they are resolved.--This position requires the individual to--have or be willing to learn light programming skills. Interactive Brokers LLC is an SEC-registered broker-dealer and a CFTC-registered futures commission merchant, as well as a member of FINRA, NFA, and all major securities and commodities exchanges. Qualifications Required:

  • Education:--University degree (BA/BS).
  • Experience:--minimum 3-5 years brokerage experience in financial services industry, with specific focus on regulatory reporting compliance issues with any of the following systems:
  • --Stock trade reporting facility systems such as NASDAQ TRF (aka ACT) and FINRA Order Audit Trail systems ("OATS"), and
  • --Fixed income systems such as TRACE, RTTM and RTRS,--
  • --Equity derivatives and commodity reporting systems such as Large Option Position Reporting ("LOPR") and--
  • --CFTC and US Commodities Large Trader and Ownership and Control reporting systems.
  • Skills:--Bloomberg experience and a technological orientation. Excellent quantitative/analytical and problem solving skills. Interpersonal & project management skills that result in resolving open issues in a team environment. Strong oral and written communication skills. Preferred--experience and skills:
    • Prior middle office reconciliation experience.
    • Prior operations background in clearing, and or corporate actions.
    • Current Registrations: FINRA Series 7 or 99 (operations professional) strongly preferred.
    • Some knowledge of industry reporting rules and regulations is preferred, particularly the CFTC, SEC, FINRA and CBOE rulebooks.
    • Computer: Advanced Excel skills are required, UNIX & SQL knowledge a plus. Any programming and/or databases experience Company Overview IBG LLC, 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, Canada, the United Kingdom, Switzerland, Hungary, Estonia, Russia, India, Hong Kong, China, Japan and Australia. 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. Do you now, or will you in the future, need sponsorship from an employer in order to obtain, extend or renew your authorization to work in the United States? Please note: if you are on F-1 Optional Practical Training (OPT) answer YES. We will review your individual case if selected for a position. --*
      -- If you selected Employee Referral, College/University, or Other Please type details:
      source2 LinkedIn Profile
      Website
      I certify that all information I have provided in order to apply and secure employment with this employer is true, complete and correct.I understand that any information provided by me that is found to be false, incomplete or misrepresented in any aspect, will be sufficient cause to (i) eliminate me from further consideration for employment, or (ii) may result in my immediate discharge from the employer's service, whenever it is discovered. --*
      Please select U.S. Equal Opportunity Employment Information (Completion is voluntary) Individuals seeking employment at IBKR are considered without regards to race, color, religion, national origin, age, sex, marital status, ancestry, physical or mental disability, veteran status, gender identity, or sexual orientation. You are being given the opportunity to provide the following information in order to help us comply with federal and state Equal Employment Opportunity/Affirmative Action record keeping, reporting, and other legal requirements. Completion of the form is entirely voluntary. Whatever your decision, it will not be considered in the hiring process or thereafter. Any information that you do provide will be recorded and maintained in a confidential file. Gender Please select Are you Hispanic/Latino? Please select Race & Ethnicity Definitions If you believe you belong to any of the categories of protected veterans listed below, please indicate by making the appropriate selection. As a government contractor subject to Vietnam Era Veterans Readjustment Assistance Act (VEVRAA), we request this information in order to measure the effectiveness of the outreach and positive recruitment efforts we undertake pursuant to VEVRAA. Classification of protected categories is as follows: A "disabled veteran" is one of the following: a veteran of the U.S. military, ground, naval or air service who is entitled to compensation (or who but for the receipt of military retired pay would be entitled to compensation) under laws administered by the Secretary of Veterans Affairs; or a person who was discharged or released from active duty because of a service-connected disability. A "recently separated veteran" means any veteran during the three-year period beginning on the date of such veteran's discharge or release from active duty in the U.S. military, ground, naval, or air service. An "active duty wartime or campaign badge veteran" means a veteran who served on active duty in the U.S. military, ground, naval or air service during a war, or in a campaign or expedition for which a campaign badge has been authorized under the laws administered by the Department of Defense. An "Armed forces service medal veteran" means a veteran who, while serving on active duty in the U.S. military, ground, naval or air service, participated in a United States military operation for which an Armed Forces service medal was awarded pursuant to Executive Order 12985. Veteran Status Please select Form CC-305 OMB Control Number 1250-0005 Expires 1/31/2020 Voluntary Self-Identification of DisabilityWhy are you being asked to complete this form? Because we do business with the government, we must reach out to, hire, and provide equal opportunity to qualified people with disabilities 1 . To help us measure how well we are doing, we are asking you to tell us if you have a disability or if you ever had a disability. Completing this form is voluntary, but we hope that you will choose to fill it out. If you are applying for a job, any answer you give will be kept private and will not be used against you in any way. If you already work for us, your answer will not be used against you in any way. Because a person may become disabled at any time, we are required to ask all of our employees to update their information every five years. You may voluntarily self-identify as having a disability on this form without fear of any punishment because you did not identify as having a disability earlier. How do I know if I have a disability? You are considered to have a disability if you have a physical or mental impairment or medical condition that substantially limits a major life activity, or if you have a history or record of such an impairment or medical condition. Disabilities include, but are not limited to:
      • Blindness
      • Deafness
      • Cancer
      • Diabetes
      • Epilepsy
      • Autism
      • Cerebral palsy
      • HIV/AIDS
      • Schizophrenia
      • Muscular dystrophy
      • Bipolar disorder
      • Major depression
      • Multiple sclerosis (MS)
      • Missing limbs or partially missing limbs
      • Post-traumatic stress disorder (PTSD)
      • Obsessive compulsive disorder
      • Impairments requiring the use of a wheelchair
      • Intellectual disability (previously called mental retardation) Disability Status Please select Reasonable Accommodation Notice Federal law requires employers to provide reasonable accommodation to qualified individuals with disabilities. Please tell us if you require a reasonable accommodation to apply for a job or to perform your job. Examples of reasonable accommodation include making a change to the application process or work procedures, providing documents in an alternate format, using a sign language interpreter, or using specialized equipment. 1 Section 503 of the Rehabilitation Act of 1973, as amended. For more information about this form or the equal employment obligations of Federal contractors, visit the U.S. Department of Labor's Office of Federal Contract Compliance Programs (OFCCP) website at www.dol.gov/ofccp . PUBLIC BURDEN STATEMENT: According to the Paperwork Reduction Act of 1995 no persons are required to respond to a collection of information unless such collection displays a valid OMB control number. This survey should take about 5 minutes to complete. We'll share your profile. The job poster may use it for jobs with other companies. Learn More

Keywords: Interactive Brokers Group, Inc., Greenwich , Compliance Analyst, Professions , Greenwich, Connecticut

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