Senior Data Analyst - Compliance

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

Interactive Brokers seeks a motivated data professional to support its Data Governance program. The Senior Data Analyst – Compliance will be responsible for researching and documenting data lineage from a regulatory compliance perspective to support global broker-dealer reporting requirements. This is a compliance role that will work closely with the data governance team and other functions as may be required.

Responsibilities

• Identify key data elements and create and maintain data lineage maps by collaborating with technical and business stakeholders.
• Create and maintain data policies and procedures and develop compliance solutions that satisfy relevant broker-dealer regulations.
• Create source-to-destination data maps for AML reports and systems.
• Support the buildout and management of the data catalog, business glossaries, and the associated metadata that serve as the enterprise repository for understanding and governing information across the organization.
• Design periodic and ad hoc supervisory reports and complete associated reviews.
• Implement internal control enhancements and appropriately triage potential compliance matters.
• Assist and coordinate responses to regulatory inquiries from US and global regulators.
• Draft and implement controls and perform control testing.
• Research and write policies and procedures.

 

Qualifications

• 5+ years of experience at a financial services company, auditor, or regulator.
• 3+ years of experience performing or auditing middle- and back-office functions at a broker-dealer, investment manager, hedge fund, or bank.
• Experience analyzing and documenting data flows and entity relationships (e.g., DFD, ERD).
• Fluent with MS Office tools, particularly Excel (e.g., Power Query, VBA) and Visio (e.g., UML and BPMN diagrams).
• Ability to work independently in a small-team environment and multi-task with minimal supervision.

 

Preferred Qualifications

• Bachelors or masters in Finance, Accounting, Business, Economics, Computer Science, Data Science, or Information Systems.
• Business analysis and/or project management experience skills.
• Understanding of financial compliance data.
• Exposure to US and foreign regulations relevant to broker-dealers.
• High comfort and fluency with computers and technology and understanding of how technology is applied to business and regulatory problems.
• Experience with Linux and SQL.
• Experience with data catalog, data lineage, MDM, and/or taxonomy tools.
• Working knowledge of one or more programming or scripting languages (Python, Java, JavaScript, Perl, etc.).
• Working knowledge of XML and/or JSON 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 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