Compliance Analyst - CAT Transaction System

This is a hybrid role (4 days in office / 1 day remote)

Interactive Brokers is looking for an experienced Data Analyst with data analysis experience, preferably in the commodities or securities industry. This position is responsible for handling compliance supervision over reporting to various non-financial systems. Prior experience working with order audit trail reporting systems, order handling or trading systems, or client data is highly desired but not required.

Responsibilities:

This position is focused on the Consolidated Audit Trail (“CAT”) reporting systems and compliance supervision to ensure that the firm has complied with the rules. This is an operational and oversight function that requires the ability to read regulations, research and analyze data, understand technical implementations of systems, and devise control procedures to test compliance.

Experience in researching transactional reporting issues to form evidence-based conclusions is a necessary skill. Experience in data analysis and/or system development or improvement is strongly preferred. While preference will be given to individuals with financial services industry experience, similar compliance experience in another industry will also be considered.

Specific Job Responsibilities:

1–2 years of experience as a Data Analyst/Data Scientist

Reviewing regulatory data to identify root causes and necessary remediation for errors

Using UNIX command tools to make corrections to records as needed

Developing surveillance for regulatory reporting and operational data

Automating the CAT Feedback system

Following up with software developers and/or management on any errors or exceptions that arise

Gathering facts to assist the firm in responding to examinations and formal inquiries

Proposing improvements to, or additional controls over, regulatory reporting

Qualifications:

Bachelor’s degree required, preferably in a quantitative or analytical field

Experience in an analytical role, preferably in the financial industry

Strong data analysis, investigatory, and problem-solving skills

The ideal candidate would have some degree of self-sufficiency in performing data analysis using common programming languages (e.g., Python, Perl) and database queries (e.g., SQL)

Regulatory research and interpretation skills

Strong written and verbal communication skills, including the ability to discuss and write about complex topics in a manner that is both precise and persuasive

Familiarity with, or the ability to learn, advanced Excel skills is required (e.g., pivot tables, macros)

Familiarity with the following is a plus:

FINRA Consolidated Audit Trail (“CAT”) / Order Audit Trail (“OATS”) systems

FIX protocol

Technological orientation is required, with the following specific skills highly valued:

UNIX knowledge is part of this job and must be learned on the job, but prior experience is preferred

Programming skills in Python, Perl, or Go are highly desirable

Experience using Atlassian systems (e.g., Confluence and JIRA) is a plus

To be successful in this position, you will have the following:

Self-motivated and able to handle tasks with minimal supervision

Superb analytical and problem-solving skills

Excellent collaboration and communication (verbal and written) skills

Outstanding organizational and time management skills