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Financial Regulatory Analyst

Company: Interactive Brokers
Location: Greenwich
Posted on: September 15, 2023

Job Description:

About INTERACTIVE BROKERS!This is a hybrid role (three days in the office/two days remote).Interactive Brokers Group has been consistently at the forefront of trading innovation, starting with the invention of the first floor-based handheld computer in 1983. We pride ourselves on being primarily a technology company and challenging the status quo. We push boundaries to offer our clients the best trading platform with the most sophisticated features at the lowest cost. Software development is the lifeblood of our firm, and it shows in our stellar brokerage platform. Interactive Brokers is regularly recognized as a leader in the financial services industry.Job DescriptionThe Financial Regulatory Analyst is responsible for ensuring compliance with the financial regulatory rules in the countries where the IBKR Group operates. Headquartered in Greenwich, Connecticut, the group's Financial Regulatory Team monitors for compliance with capital and client protection regulations and evaluates the impact of financial regulations for global affiliates. The Analyst will work on entities operating in Australia, Canada, India, Hong Kong, and the US.The successful candidate will be highly meticulous, team-oriented, and capable of identifying and recommending process improvements.ResponsibilitiesDaily monitoring of Capital and Client Protection compliance (e.g., Commodities Client Segregation, Reserve (15C3-3), Net Capital (15C3-1), Canada Client Money, Hong Kong Client Money, India Client Money)Compilation of monthly and annual regulatory reports (FOCUS, MFR, CLR, FFR, FRR)Annual review and continuing maintenance of policies and proceduresAssist with regulatory examination and external audit query responses (SEC, FINRA, CFTC, CME, NFA)Analyse new regulations in existing jurisdictions and assist in the research of new licenses and/or entry into a new countryQualificationsBachelor's degree with a concentration in Finance, Accounting or Economics0-5 years of experienceProficiency in Microsoft ExcelExperience in regulatory reporting is preferred but not requiredCompany Benefits & PerksCompetitive salary, annual performance-based bonus and stock grantRetirement plan 401(k) with competitive company matchExcellent health and welfare benefits, including medical, dental, and vision benefitsWellness screenings and assessments, health coaches and counseling services through an Employee Assistance Program (EAP)Paid time off and a generous parental leave policyDaily company lunch allowance provided, and a fully stocked kitchen with healthy options for breakfast and snackCorporate events including team outings, dinners, volunteer activities and company sports teamsEducation reimbursement and learning opportunitiesModern offices with multi-monitor setupsCompany OverviewInteractive Brokers LLC, a subsidiary of Interactive Brokers Group, Inc. (Ticker: IBKR) is a direct access electronic broker serving professionals, frequent traders, institutional investors, financial advisors and introducing brokers. Our clients have access to more than 150 market centers around the world from a single integrated account. Our employees are part of a dynamic, multi-national, fast-paced, results-oriented team that has spent four decades focused on advanced technology and automation that equips our clients with a uniquely sophisticated platform to manage their investment portfolios. We provide our clients with advantageous execution prices, risk and portfolio management tools, research facilities and investment products, at low or no cost, positioning them to achieve superior returns.Headquartered in Greenwich, CT, USA. IBKR has offices in more than 15 countries across the world.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 the link to view a short video with a few words from current Interactive Brokers employees:

Keywords: Interactive Brokers, Greenwich , Financial Regulatory Analyst, Professions , Greenwich, Connecticut

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