Technology Compliance - Senior Analyst

Job Description

Interactive Brokers is looking for a motivated, IT audit, risk or compliance professional with experience working in financial services, or similar regulated environment. 
Responsibilities
The Senior Compliance Analyst’s primary focus will be to:
Support compliance coverage of the firm’s technology and data enterprise, and coverage for broker-dealer clients
Design periodic and adhoc supervisory reports and complete associated reviews
Engage with stakeholders across technology and operations teams and support them in an advisory capacity
Implement internal control enhancements and appropriately solution potential compliance matters
Assist draft business specifications to create and improve surveillance and compliance tools
Assist coordinate responses to regulatory inquiries from foreign and US regulators
Draft and implement firm policies, controls and written supervisory procedures

Qualifications
5+ years’ experience with a broker-dealer, investment manager or regulator
Solid academic background with a Bachelors or Masters in Finance, Computer Science, Data Sciences or Information Systems preferred
Working knowledge of SEC, FINRA, CFTC, CME, NFA, US and foreign regulations relevant to the areas of coverage
Strong working knowledge of industry standards from NIST, ISO, COBIT, ISACA, EDM, etc
High degree of comfort and fluency with computers and technology, and an understanding of how technology is applied to business and regulatory problems.
Ability to develop compliance solutions that satisfy relevant regulations while executing sound business judgment
Ability to work both independently as well as in a small-team environment, and to multi-task with minimal supervision
Knowledge of information systems, software development, UNIX, SQL, Perl and databases is a plus

Company Benefits & Perks

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