Regulatory Reporting Operations Analyst

Interactive Brokers Group
United States
Workplace: HybridFull timeFunction: Business OperationsExperience: 3-5 yearsEducation: bachelorsSkills: ["Attention to detail","Data integrity","Analytical thinking","Communication","Organizational skills"]

Ensure the accuracy, completeness, and timeliness of regulatory reporting by reviewing and reconciling exception reports across trading desks and product types. Serve as a key point of contact for internal and external regulatory inquiries, escalating complex issues as needed. Coordinate with IT, Operations, and business teams to improve processes, maintain regulatory procedures, and manage data quality in reporting systems such as TRACE, RTRS, TRF, and ORF.

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Interactive Brokers Group
Interactive Brokers Group
4 months ago

Regulatory Reporting Operations Analyst

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Source: Company careers pageValidated by: Fursa AI
Last checked: 3 days agoStatus: Live
Reposted: similar role first listed 5 months ago

Job Summary

Ensure the accuracy, completeness, and timeliness of regulatory reporting by reviewing and reconciling exception reports across trading desks and product types. Serve as a key point of contact for internal and external regulatory inquiries, escalating complex issues as needed. Coordinate with IT, Operations, and business teams to improve processes, maintain regulatory procedures, and manage data quality in reporting systems such as TRACE, RTRS, TRF, and ORF.
Location: United States
Workplace: Hybrid
Employment Type: Full time
Job Function: Business Operations
Seniority: Mid level

Key Responsibilities

  • •Review, investigate, and reconcile discrepancies in regulatory exception reports across trading desks and product types, ensuring timely escalation and resolution.
  • •Manage internal and external regulatory inquiries, providing detailed responses and escalating complex issues to Legal, Compliance, and Trading Desks.
  • •Coordinate with IT, Operations, and business units to implement system enhancements, procedural updates, and training to improve regulatory reporting efficiency.
  • •Maintain and update regulatory reporting Written Supervisory Procedures (WSPs), desktop procedures, and control documentation.
  • •Manage and validate data inputs into regulatory reporting systems, perform data quality checks, and liaise with system administrators to resolve technical issues.

Pay and Benefits

Perks:401kHealth InsuranceDentalVisionAnnual BonusEquity

Key Requirements

  • •Bachelor’s degree in Finance, Accounting, Economics, Business Administration, or a related field (advanced degree like MBA/CFA is a plus).
  • •3–5 years of hands-on regulatory reporting experience in financial services, ideally in compliance, operations, or middle-office.
  • •Experience with regulatory reporting systems such as FINRA TRACE, MSRB RTRS, or FINRA TRF/ORF.
  • •Advanced Microsoft Excel skills, including VLOOKUP, PivotTables, and macros.
  • •Strong analytical and quantitative skills, plus a plus for UNIX commands, SQL, Python, or other programming languages.
Experience:3-5 yearsFinancial servicesRegulatory reportingTrading desks
Education:Bachelor's
Skills:Attention to detailData integrityAnalytical thinkingCommunicationOrganizational skills
Tech Stack:Microsoft ExcelVLOOKUPPivotTablesMacrosUNIXSQLPythonFINRA TRACEMSRB RTRSFINRA TRFFINRA ORFTRACERTRSTRFORF

Company Brief

Interactive Brokers Group
Operates an electronic trading platform providing brokerage services for individuals and institutions across global markets, offering equities, options, futures, forex, bonds, and related clearing and custody services with advanced trading technology and low-cost executions.
Industry: Trading Platforms
Company Size: Enterprise (1,001+ employees)
Revenue: USD 1B+
Growth: Public Company
Valuation: Public Company (Market Cap in USD)
Funding: IPO / Publicly Listed
Headquarters: Greenwich, United States
Founded: 1977
WebsiteLinkedIn