Financial Regulatory Analyst

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 Description

The 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.

 

Responsibilities

• Daily 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 procedures
• Assist 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 country

 

Qualifications

• Bachelor's degree with a concentration in Finance, Accounting or Economics
• 0-5 years of experience
• Proficiency in Microsoft Excel
• Experience in regulatory reporting 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 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

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Last updated on Sep 7, 2023