Compliance Operational Analyst, Interactive Brokers
3 days a week in office
Online broker
Open for applications
Online broker
1001+ employees
Open for applications
3 days a week in office
1001+ employees
Company mission
To create technology to provide liquidity on better terms.
Role
Who you are
- Min 2 years of relevant Compliance experience, preferably at a large broker, proprietary trading firm or other MiFID firm, gained in a Compliance, Risk or Audit function
- Knowledge of the regulatory framework of applicable regulation, including MiFID/R, and other relevant Central Bank of Ireland codes/guidance. Knowledge of EMIR, PRIIPS and SFTR is a plus
- Strong knowledge of financial instruments and financial markets
- Experience assessing risks and evaluating systems and controls
- High degree of comfort with technology and a functional understanding of how technology can be applied to business and regulatory solutions
- Strong communication, problem-solving and analytical skills
- Ability to work under pressure, formulate and articulate solutions and defend assumptions
- Excellent attention to detail
- University degree or higher qualification
- Professional Certificate or Professional Diploma in Compliance or currently working towards these qualifications
What the job involves
- Interactive Brokers Ireland Limited (“IBIE”) is looking for a Compliance Operational Analyst/ Account Maintenance Specialist to assist with fulfilling IBIE’s responsibilities concerning client categorization, regulatory reporting, and consumer protection
- The Analyst will be an integral member of the client operations team, reporting directly to the European Head of New Accounts
- This is a unique opportunity for a junior professional with a background in compliance to gain exposure to a wide range of governance and regulatory risk management requirements in a fast-paced and complex operating environment
- It also provides an excellent opportunity to learn the regulatory expectations of an investment firm with a large retail and professional client base
- Assist the first line with the day-to-day oversight and execution of compliance-related operational items
- Review and process client categorisation requests
- Ensure that client profiles are current for EMIR/MiFIR/SFTR reporting
- Confirm that the appropriateness testing system is operating correctly on a pan-European level
- Compile Management Information from the output of the client profile reviews and identify changes and enhancements to the current processes
- Collaborate closely with the second line on the planning and execution of the firm’s Compliance monitoring and testing program per industry standards and the expectations of management, auditors, and the Central Bank of Ireland
- Monitor new and emerging regulatory and conduct risks and their impacts on the firm and its clients
- Assist with maintaining the Compliance Policy and Procedures framework by providing valuable operational feedback to stakeholders
Our take
Interactive Brokers is an automated electronic broker, empowers users to analyse global stock markets, manage portfolios, and explore diverse investment assets. With a history spanning over 45 years, the company has thrived by adapting to evolving digital trading trends. Its comprehensive suite of services includes analytical tools, asset marketplaces, and seamless third-party integration, enhancing portfolio management capabilities.
Boasting over $11.6 billion in equity capital, Interactive Brokers remains at the forefront of industry innovation. The company has embraced the rising popularity of cryptocurrency, offering customers access to crypto trading through a partnership with Paxos Trust Company. This proactive approach reaffirms Interactive Brokers' position as a forward-thinking player in the ever-changing trading landscape.
Recently, Interactive Brokers expanded its trading hours for U.S. Treasury bonds to 22 hours a day, allowing global clients to trade during their local hours and quickly respond to market news. This extension reflects the company's commitment to flexibility and comprehensive service, meeting the diverse needs of clients in over 200 countries and territories.
Kirsty
Company Specialist at Welcome to the Jungle
Insights
Some candidates hear
back within 2 weeks
8% employee growth in 12 months
Company
Company benefits
- Retirement plan 401(k) with a competitive company match
- Excellent health and wellness benefits, including medical, dental, and vision benefits and 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
Company HQ
Greenwich, CT
Articles
Leadership
Thomas Peterffy
(Chairman)Former computer programmer and architectural draftsman. They played a role in developing the first electronic trading platform for securities at the American Stock Exchange.
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