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Senior Compliance Analyst - Core Compliance

Company: Interactive Brokers LLC
Location: Greenwich
Posted on: May 11, 2022

Job Description:

Job Description

Interactive Brokers is looking for a motivated and talented compliance analyst who is familiar with U.S. securities and/or commodities regulations and has appropriate experience at a regulatory agency, exchange or law firm. In particular, we are looking for someone with experience in regulatory exam management, compliance testing, and policy management.


The Sr. Compliance Analyst - Core Compliance will be responsible for supporting the Core Compliance team in all aspects, including:

Developing and managing the firm's compliance testing program, including testing procedures, methodologies, risk assessments and frequency schedules to comply with relevant legal and regulatory requirements and industry best practices
Coordinating the execution of testing reviews with stakeholders across various departments and ensuring reviews are conducted in accordance firm procedures
Reporting compliance testing findings to management and defining management actions plans with stakeholders to address findings
Tracking compliance testing findings from discovery to remediation
Assisting in the oversight of the firm's policies and procedures
Coordinating with various departments to ensure that policies and procedures are reviewed and updated as needed, as well as in accordance with stated frequency requirements
Partnering with compliance programming staff and/or technology vendors to implement policy and procedure technology enhancements
Coordinating smaller regulatory exams independently and supporting manager with coordination of larger cycle regulatory exams


4 - 7 years of experience with the SEC, FINRA, CFTC, NFA, an exchange, law firm with a focus of security or commodity regulations, another broker-dealer or FCM. Experience in a compliance testing or audit role is preferred
High degree of comfort and fluency with computers and technology
Outstanding oral and written communication skills
Ability to work both independently as well as in a small-team environment, and to multi-task with minimal supervision
Registrations (i.e., SIE, Series 7, 24 and/or Series 3 registration) or member in good standing of the bar of any U.S. state or the District of Columbia preferred
Experience with Atlassian Confluence/JIRA preferred

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 , Senior Compliance Analyst - Core Compliance, Professions , Greenwich, Connecticut

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